Compliance Do-Overs, Fiduciary Momentum, and “Free” lunches.
Tag "audit"
State-run backlash, fiduciaries on a pinhead, and still misunderstanding fees.
Policy Insanity, Now the Real Fiduciary Questions, and Back to Investing Basics
Eastwooding 401k fee disclosure, the folly of fiduciary harmonization and “Why are we still talking about investments?”
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.
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?
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.