Compliance
How Cunningham v. Cornell Exposes the Illusion of 401k Plan Fiduciary Compliance
Cunningham v. Cornell is testing whether traditional 401k fiduciary compliance truly protects plan sponsors. Courts and regulators are probing governance gaps, personal liability, and participant harm more aggressively than ever.
Bridging the Generational Divide in 401k Communication
How can fiduciaries bridge the generational divide in 401k communication without inviting ERISA scrutiny? The strategies that follow may prove transformational.
401k AI Fiduciary Traps Spark ERISA Questions
AI fiduciary traps refer to compliance risks arising from inaccurate, biased, or undocumented AI outputs in 401k plan administration. Do you think the tort bar is salivating over this, waiting for that inevitable misstep?
The Fiduciary How (And Why) 401k Plan Sponsors Change Recordkeepers
The central role of the recordkeeper can create reverberations with other providers should the plan sponsor attempt to change recordkeepers. Any hiccup in the employees’ ability to manage their retirement assets can cause problems for plan sponsors.
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.
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?
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.
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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