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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: wealth preservation
The Art of Fiduciary Investing: Controlling the Controllable
“[I]nvesting intelligently is about controlling the controllable.” Ben Graham, “The Intelligent Investor” The world of fiduciary investing is going through a significant stage, as more attention is being focused on various issues such as advisory fees, annual fees charged by … Continue reading
Posted in 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, ERISA, fiduciary, fiduciary investing, fiduciary law, investment advisers, investment analysis tools, pension plans, retirement plans, RIA risk management, risk management, wealth management, wealth preservation
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THE Key Factor in Liability Risk Management
I was at a conference recently to serve on a panel to discuss various fiduciary issues, including FINRA Regulatory Notice 12-25 and the universal fiduciary standard. When I am at a conference, I rarely attend other presentations for the very … Continue reading
Posted in 401k compliance, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, RIA Compliance, securities compliance, wealth management, wealth preservation
Tagged 401k compliance, 404c compliance, compliance, fiduciary, fiduciary law, FINRA, investment advisers, portfolio optimization, RIA compliance, RIA risk management, risk management, securities compliance, suitability, wealth management, wealth preservation
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Four Faces of Fiduciary Prudence
In defining prudence, ERISA’s rules and regulations state that [A] fiduciary shall discharge his duties with respect to a plan solely in the interest of the participants and beneficiaries…with the care, skill, prudence, and diligence under the circumstances then prevailing … Continue reading
Posted in 401k, 401k compliance, 401k investments, 404c, 404c compliance, compliance, fiduciary compliance, fiduciary law, investments, pension plans, securities, wealth management, wealth preservation
Tagged 401k, 401k compliance, 404c, 404c compliance, compliance, ERISA, fiduciary, fiduciary law, investment advisers, modern portfolio theory, pension plans, retirement plans, RIA, RIA compliance, RIA risk management, risk management, suitability, wealth management, wealth preservation
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Quantum Meruit and “Other” Compliance Challenges
When I was a compliance director, my biggest frustration was not being able to share certain legal information with the broker-dealer’s registered representatives and those who maintained independent RIAs. I understood the BD’s position, namely that volunteering such information potentially … Continue reading
Posted in compliance, fiduciary compliance, fiduciary law, investments, RIA, RIA Compliance, securities, securities compliance, wealth management, wealth preservation
Tagged compliance, Compliance Gauntlet, fiduciary, fiduciary law, investment advisers, modern portfolio theory, RIA, RIA compliance, RIA risk management, risk management, securities compliance, wealth management, wealth preservation
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“Hidden” Assets – Potential Liability Implications of the LaRue Decision for Attorneys and Fiduciaries
During a recent deposition of an executor, I asked the executor, a bank trust officer, whether the bank had evaluated the defined contribution plan in which the deceased had participated. The trust officer replied that the funds in deceased’s account … Continue reading
Posted in 401k, fiduciary compliance, fiduciary law, pension plans, retirement plans, wealth management, wealth preservation
Tagged 401k, 401k compliance, ERISA, fiduciary, fiduciary law, investment advisers, pension plans, retirement plans, RIA compliance, wealth management, wealth preservation
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The Prudent Investment Fiduciary Rules 