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Tag "Form ADV"

Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 4/1/11

In a week where the new Form ADV became official, we discovered it can increase fiduciary liability for 401k plan sponsors for the same reason it is supposed to help them. In the meantime, the fiduciary finger now points squarely at brokers alone, plus more news on pensions and Target Date Funds.

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How Will New ADV Part 2 Help (or Hurt) 401k Plan Sponsors?

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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