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