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Compliance
Whether you’re an ERISA/401k fiduciary, an individual trustee or a professional fiduciary, you must comply with federal, state or self-regulatory agencies. The material in this section focuses on practical implementation.
By Christopher Carosa, CTFA | February 21, 2012
Things just got a lot tougher for plan sponsors. Here’s what expert ERISA attorneys have to say.
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Posted in Compliance | Tagged 204(h), Ary Rosenbaum, Bechtel, Caterpillar, court rulings, DOL, Fee Disclosure Rule, General Dynamics, judgment, LaRue, liability, Matthew Borror, penalty, settlement, Stephen Miller, Tibble v. Edison
By Christopher Carosa, CTFA | January 4, 2012
Which plan sponsors will be most impacted by 2012’s emerging regulation?
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Posted in Compliance | Tagged ASPPA, Brooks Mosley, Christopher Thomas, DOL, Elle Kaplan, Errold Moody, Fee Disclosure Rule, fiduciary, Kevin Watt, Kyle Pifher, Marc Cahn, Peter Fisher, Peter Macaluso, Richard Ohanesian, Robert Richter, SEC
By Christopher Carosa, CTFA | December 20, 2011
Deloitte’s annual survey produces two shockers: One explains why annuities aren’t as popular as the press makes them out to be, the other, well…
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Posted in Compliance | Tagged 404(a), 408(b)(2), Annuity, behavioral, benchmarking, Deloitte, DOL, fee, Fiduciary Rule, GOT, governance, liability, recordkeeping, risk
By Christopher Carosa, CTFA | September 22, 2011
The Fiduciary Standard is American as motherhood, apple pie and Quaker Oatmeal.
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Posted in Compliance | Tagged 401k, DOL, fiduciary, Fiduciary Rule, Fiduciary Standard, IRA, liability, Phyllis Borzi, suitability standard
By Christopher Carosa, CTFA | May 17, 2011
How old is that 401k Investment Policy Statement? If it hasn’t been updated in a while, chances are it contains language that could get the Plan Sponsor in trouble. Here’s at least one thing you can look for.
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Posted in Compliance | Tagged Due Diligence Book, ERISA, fiduciary, Investment Goal, investment policy statement, liability, Modern Investment Goal, Traditional Investment Goal
By Christopher Carosa, CTFA | April 19, 2011
It might surprise you to discover the industry’s loudest complaints against the fiduciary standard might also be the strongest arguments for the fiduciary standard.
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Posted in Compliance | Tagged DOL, Edward Lynch, ERISA, Fiduciary Standard, Jan Sackley, liability, Patricia Foster
By Christopher Carosa, CTFA | April 5, 2011
For all the public comments offered at the DOL’s Public Hearing on the definition of the Definition of Fiduciary, perhaps the most important statement was the one offered by Assistant Secretary to open the hearings.
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Posted in Compliance | Tagged DOL, Fiduciary Standard, Phyllis Borzi
By Christopher Carosa, CTFA | March 31, 2011
The SEC’s new Form ADV Part 2 makes it harder for 401k Plan Sponsors to feign ignorance when it comes to conflicts of interest.
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Posted in Compliance | Tagged ADV, fiduciary, Fiduciary Standard, Form ADV, liability, Part 2, Part II, plan sponsor
