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Due Diligence

5 Areas Where Target Date Funds Increase 401k Plan Sponsors’ Fiduciary Liability

    5 Areas Where Target Date Funds Increase 401k Plan Sponsors’ Fiduciary Liability

When considering the potential – if not underestimated – liability associated with TDFs, perhaps it’s best to listen to the warning Cialdini provides regarding Social Proof: “It should never be trusted fully… we need to look up and around periodically whenever we are locked into the evidence of the crowd.”

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How QDIAs Have Changed the Fiduciary Role of 401k Plan Sponsors

    How QDIAs Have Changed the Fiduciary Role of 401k Plan Sponsors

When retirement industry professionals talk about the impact of the 2006 Pension Protection Act, you might be surprised that this is what they conclude.

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Rethinking Performance Standards (Part II – The Solution)

    Rethinking Performance Standards (Part II – The Solution)

A fiduciary who only looks at the most recent reporting period stands to make an unfortunate – and potentially damaging – investment decision… and unnecessarily exposes himself and his company to a liability that can otherwise be easily avoided.

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Rethinking Performance Standards (Part I – The Fatal Flaw)

    Rethinking Performance Standards (Part I – The Fatal Flaw)

Worse, those held accountable for the potential damage of the flaw are not these detached organizations, but the professionals implicitly promoting the festering error – regular people ranging from bank trustees hired to guard the interests of beneficiaries to retirement plan sponsors and trustees responsible for protecting their employees.

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Must Read for the Summer: Top Fiduciary Questions 401k Plan Sponsors Must Ask (But Sometimes Don’t)

    Must Read for the Summer: Top Fiduciary Questions 401k Plan Sponsors Must Ask (But Sometimes Don’t)

Would you rather have the nuts and bolts practical guide for what to ask or the theoretical questions that tend towards the philosophical? Most 401k plan sponsors are too busy for theory, that’s why they’ll prefer to focus on these questions.

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Yes, Separately Managed 401k Account Pose Risks to Plan Sponsors, But These Steps Can Reduce Their Fiduciary Liability

    Yes, Separately Managed 401k Account Pose Risks to Plan Sponsors, But These Steps Can Reduce Their Fiduciary Liability

“As more employees find their 401k accounts growing to more than one million dollars, there will be a greater desire for employees to gain greater control over their own future. Plan sponsors should become more aware of the consequences of providing these kinds of options and how best to mitigate the liability risk associated with them.”

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How a Fiduciary Answers the Individual Stocks vs. Mutual Fund Question

    How a Fiduciary Answers the Individual Stocks vs. Mutual Fund Question

If you’re a fiduciary and you haven’t ask this question, you might want to read this before you make your next decision.

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Is “Active Share” the New Phrenology?

    Is “Active Share” the New Phrenology?

The controversial and decidedly partisan report not only took aim at the policies of the current administration, it entered into the passive/active debate by solely targeting actively managed funds. Worse, the report reveals a rather naïve understanding of mutual funds and investing.

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4 Specific Examples When “Socially Responsible” Investing Does Not Breach One’s Fiduciary Duty

    4 Specific Examples When “Socially Responsible” Investing Does Not Breach One’s Fiduciary Duty

So-called “socially responsible” investing is not automatically incompatible with abiding by one’s fiduciary duty, however, the cases where it is acceptable are narrowly defined.

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How a Fiduciary Should Explain “Growth” and “Value” Investing Styles

    How a Fiduciary Should Explain “Growth” and “Value” Investing Styles

These are the times it’s most important for fiduciaries to learn how to say “no” to clients who feel compelled to set their own best interests aside just to chase investment performance. No one is saying that’s an easy job.

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