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Due Diligence

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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When is it OK (and not OK) to mix TDFs with other funds?

    When is it OK (and not OK) to mix TDFs with other funds?

Investing through mutual funds, including TDFs, is like using mass transportation. It’s not ideal but for many it’s the only realistic choice.

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401k Plan Sponsors Need to Know the Good, the Bad, and Why TDFs are So Popular

    401k Plan Sponsors Need to Know the Good, the Bad, and Why TDFs are So Popular

With the pain of the Target Date Fund 2008/09 market crash debacle still lingering in the mind, to best assess the potential fiduciary liability inherent in TDFs – no matter what safes harbors were promised by the PPA – it’s critical that 401k plan sponsors understand what’s good about them, what’s bad about them, and just why they’re so popular.

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Will the DOL’s New Fiduciary Rule Redefine the Role and Boundaries of Plan Recordkeepers?

    Will the DOL’s New Fiduciary Rule Redefine the Role and Boundaries of Plan Recordkeepers?

Ultimately, it will be the tort bar that offers the enforcement and the subsequent consequence for poor decision making on the part of plan sponsors and service providers. Rest assured all sides will be discover the regulatory fence in their once open fields.

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401k Fiduciary Alert: Regulators Targeting 12b-1 Fees, Is Revenue Sharing Far Behind?

    401k Fiduciary Alert: Regulators Targeting 12b-1 Fees, Is Revenue Sharing Far Behind?

You may not remember this, but several months ago the SEC penalized three AIG affiliates $7.5 million for charging $2

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Should a Fiduciary Use Historic Returns or Economic Forecasts when Making Retirement Return Projections?

    Should a Fiduciary Use Historic Returns or Economic Forecasts when Making Retirement Return Projections?

Between using past performance to suggest future results and using forecasts to try to time the market, which is the lesser evil?

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QDIA Fiduciary Red Flags 401k Plan Sponsors Must Look Out For

    QDIA Fiduciary Red Flags 401k Plan Sponsors Must Look Out For

Do 401k plan sponsors know the fiduciary minefield they’re stepping into when they select a QDIA?

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7 Rollover Tips for Those with Money Still in Former Employer 401k Plans

    7 Rollover Tips for Those with Money Still in Former Employer 401k Plans

Should you stay or should you go? The answer is so obvious you don’t have to ask your hairdresser to know for sure.

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Retirement Planning Using Return Assumptions vs. Return Requirements – A Fiduciary Perspective

    Retirement Planning Using Return Assumptions vs. Return Requirements – A Fiduciary Perspective

The evolution towards more effective retirement planning is already underway, and many fiduciaries are breathing a sigh of relief because of it.

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