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Tag "Compliance"

Dull, Exclusive, & Generic: Why 401k ‘Education’ Fails To Address Financial Literacy And How To Fix It

    Dull, Exclusive, & Generic: Why 401k ‘Education’ Fails To Address Financial Literacy And How To Fix It

There’s a perverse incentive working here, however. The more aggressive a plan sponsor gets in terms of promoting “financial wellness,” the more likely that plan sponsor will accidentally cross some compliance line.

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 8/26/11

A week with compliance news coming in from all sides. What issue will have the greatest impact?

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 7/01/11

It’s a tale of two regulators. One wants to play politics while the other wants to accomplish something. Meanwhile, ETFs continue to get mixed reviews.

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A Fiduciary Test Drive of New DOL Fee Chart Using Top 401k Funds

Here’s your chance to see a real example of the new DOL 401k Disclosure Rule in practice. Complete with links to vital DOL documents.

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401k 2.0 – A Proposal

Isn’t it ironic that the very people who 401k plans were created to benefit have decided it’s easier to ignore the maze than to constructively participate. Allowing the 401k to evolve up to today’s technology will solve many problems.

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New White Paper Reveals 3 Greatest Fiduciary Liability Threats to 401k Plan Sponsors

The current economic setting only heightens fiduciary liability. Last year, the DOL logged more than 4.5 corrected violations per business day. With aggressive litigators using technology to sniff out these violators and others, what’s a 401k plan sponsor to do?

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9 Free On-Line DOL Resources for 401k Plan Sponsors

Where’s the best place for the 401k plan sponsor to go for free help on their fiduciary duties and responsibilities?

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Is the Fiduciary Standard Enough? 3 Critical Fiduciary Duties Every ERISA Plan Sponsor Must Know

Will Congress, the SEC and the DOL upgrade the current fiduciary standard to the trust model used by bank trust departments so successfully for more than a century?

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Top Fiduciary Stories in 2009

The topsy-turvy 2009 provided some of the biggest fiduciary stories in years. Which do you think rates as the most important?

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Exclusive Interview with Mutual Fund Fee Myth Busting Professor

Contrary to popular press reports, economic theory clearly suggests paying high fees is justified. Here’s the cruel irony and the greatest danger posed by the myth of high mutual fund fees: by taking back some of the responsibility normally delegated to professional advisers, an active fiduciary may in reality take on a greater fiduciary liability.

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