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Tag "DOL"

What Professional Fiduciaryā€™s Really Think Are 401k Plan Sponsorsā€™ Biggest Challenge

    What Professional Fiduciaryā€™s Really Think Are 401k Plan Sponsorsā€™ Biggest Challenge

The root of these broader fiduciary concerns lies within the domain of compliance. Everything derives from what the regulators require, what any DOL audit might look at, and what might pique the interest of class-action attorneys.

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Is ESG Investing A Problem For Fiduciary Duty?

    Is ESG Investing A Problem For Fiduciary Duty?

The Biden Rule, like the Trump Rule, does not encourage or discourage the use of ESG criteria when selecting investments. This allows fiduciaries to either adopt ESG principles or ignore them.

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Deemed IRAsā€”Did SECURE Act 2.0 Kill Them or Give Them a Boost?

    Deemed IRAsā€”Did SECURE Act 2.0 Kill Them or Give Them a Boost?

Itā€™s critical that plan sponsors consult with compliance professionals before adding the Deemed IRA feature.

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Have The DOLā€™s Fiduciary Efforts Made Things Worse?

    Have The DOLā€™s Fiduciary Efforts Made Things Worse?

Letā€™s not just blame certification providers. Government agencies responsible for monitoring and enforcement are also responsible for market confusion and the dilution of the ā€œfiduciaryā€ standard.

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The 401kā€™s Past Is Not Its Future

    The 401kā€™s Past Is Not Its Future

The story arc of the 401k mimics that of software. Each release adds to and builds on features and benefits over and above those of previous releases.

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Will DOLā€™s New ESG Fiduciary Rule Change How 401k Plan Sponsors Pick Investments?

    Will DOLā€™s New ESG Fiduciary Rule Change How 401k Plan Sponsors Pick Investments?

Unlike previous definitions, this version takes a definitive step towards allowing plan sponsors to forgo traditional financial measures. Rather than relying on extensive academic studies, this new Rule represents a certain leap of faith.

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Exclusive Interview: Harold Evensky: Reg BI ā€˜Makes Absolutely No Senseā€™

    Exclusive Interview: Harold Evensky: Reg BI ā€˜Makes Absolutely No Senseā€™

“I was [once] a major skeptic of the use of annuities, I have subsequently changed my mind regarding the efficacy of low-cost fixed and variable annuities in both personal and retirement accounts.”

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5 Key Due Diligence Differences Between Analyzing CIT Risks And Analyzing Mutual Fund Risks Every 401k Fiduciary Must Know

    5 Key Due Diligence Differences Between Analyzing CIT Risks And Analyzing Mutual Fund Risks Every 401k Fiduciary Must Know

Today, in reading some of the headlines, youā€™d think theyā€™re greater than sliced bread. They may be. They may not be. Still, there are differences, and 401k plans sponsors would benefit from practicing the utmost in due diligence when determining if CITs are the right fit for their plan.

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Are DOLā€™s ESG Tactics Backfiring With The 401k Fiduciary?

    Are DOLā€™s ESG Tactics Backfiring With The 401k Fiduciary?

Should the platform offer ESG doesnā€™t necessarily mean good news for the 401k plan sponsor. Including ESG funds might introduce other risks.

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