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Recent Posts
- Terminal Wealth: The True Fiduciary Prudence Paradigm with Regard to the In-Plan Annuity Scam
- Is the DOL/EBSA Trying to Serve Two Masters? ERISA Section 404(a)’s Independent Investigation and Evaluation Requirements and the DOL/EBSA Proposed Rule on Alternative Investments
- Much Ado About Nothing?: The DOL’s New Alternative Investment Rule vs. the Administrative Procedure Act
- Reasserting ERISA’s Private Enforcement Design: A Rebuttal to EBSA’s “Frivolous Litigation” Narrative
- When Income Is Not Enough: Why the Continued Inclusion of In-Plan Annuities May Breach ERISA Duties When Compared to Capital-Preserving Income Alternatives and Strategies
The Prudent Investment Adviser Rules
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Tag Archives: suitability
Running the Investment Compliance “Gauntlet”
As most people know, I focus on helping RIA professionals with both compliance and risk management issues. Far too many times I have performed compliance audits where the RIA has all of the required files and manuals, but a poor … Continue reading
New Compliance and Liability White Paper
With the new year comes the renewal of the debate over one universal fiduciary standard for those providing investment advice to the public. What many compliance professionals do not realize is that many jurisdictions already impose a fiduciary standard on … Continue reading
Posted in 401k compliance, 404c compliance, compliance, investments, retirement plans, RIA, RIA Compliance, securities compliance
Tagged 401k, 401k compliance, 404c compliance, ERISA, investment advisers, retirement plans, RIA compliance, risk management, securities compliance, suitability
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That Dog Won’t Hunt
First, my apologies for the delay between posts. It has been incredibly busy between helping advisers prepare for the conversion to state supervision, helping new RIAs set-up their practices and performing fiduciary audits. I think RIA firms are finally getting … Continue reading
Investment Advisers and the Internet
First, the necessary disclaimer – there is no way to cover all the applicable rules and regulations regarding investment advisers and the internet in a single blog. While it is hoped that the analysis provided herein is helpful, it is neither … Continue reading
Posted in compliance, investments
Tagged compliance, FINRA, investment advisers, investment analysis tools, RIA compliance, suitability, web sites
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A Pure Heart and an Empty Head Is No Defense
Unbeknownst to many investment advisers, it is their responsibility to educate themselves as to applicable legal standards for their advisory practices. Investment advisers affiliated with a broker-dealer often assume that the broker-dealer will keep them updated as to any compliance … Continue reading
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