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Tag "audit"

FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 2/15/19

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 2/15/19

A “Universal” Solution, forward and backward fiduciary steps, and everything old is new again.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 10/5/18

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 10/5/18

Compliance Do-Overs, Fiduciary Momentum, and “Free” lunches.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 2/17/17

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 2/17/17

State-run backlash, fiduciaries on a pinhead, and still misunderstanding fees.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/22/16

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/22/16

Policy Insanity, Now the Real Fiduciary Questions, and Back to Investing Basics

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 6/12/15

A greedy government grab, more fiduciary follies, and investment “rules” exposed as sales pitches.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 5/29/15

Ruining retirement, Tibble squabbling, and income innuendo.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 3/28/14

Gov pulls an Urkel, fees falling in the forest and basic investment questions.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 8/31/12

Eastwooding 401k fee disclosure, the folly of fiduciary harmonization and “Why are we still talking about investments?”

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5 Rules for the Fiduciary Seeking to Avoid the Next Madoff

We don’t need more regulation to prevent future Madoffs, we just need common sense (and, perhaps, a tad bit more enforcement of existing regulations). Here are five straightforward rules fiduciaries can follow to avoid their own personal investment Waterloo.

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Everything an ERISA/401k Fiduciary Needs to Know About DOL Audits to Reduce Fiduciary Liability

What most often triggers a DOL audit? What liability exposure does the ERISA/401k fiduciary typically face as a result of a DOL audit? Can a retirement plan fiduciary face criminal charges? What does the DOL auditor expect from the ERISA/401k fiduciary? What are the four critical keys the plan fiduciary should focus on during a DOL audit? Does the DOL have an ideal “Wish List of Materials” they expect an ERISA/401k fiduciary to provide them during a DOL audit?

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