Fiduciary News

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Tag "DOL"

Have The DOL’s Fiduciary Efforts Made Things Worse?

    Have The DOL’s Fiduciary Efforts Made Things Worse?

Let’s not just blame certification providers. Government agencies responsible for monitoring and enforcement are also responsible for market confusion and the dilution of the “fiduciary” standard.

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The 401k’s Past Is Not Its Future

    The 401k’s Past Is Not Its Future

The story arc of the 401k mimics that of software. Each release adds to and builds on features and benefits over and above those of previous releases.

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Will DOL’s New ESG Fiduciary Rule Change How 401k Plan Sponsors Pick Investments?

    Will DOL’s New ESG Fiduciary Rule Change How 401k Plan Sponsors Pick Investments?

Unlike previous definitions, this version takes a definitive step towards allowing plan sponsors to forgo traditional financial measures. Rather than relying on extensive academic studies, this new Rule represents a certain leap of faith.

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Exclusive Interview: Harold Evensky: Reg BI ‘Makes Absolutely No Sense’

    Exclusive Interview: Harold Evensky: Reg BI ‘Makes Absolutely No Sense’

“I was [once] a major skeptic of the use of annuities, I have subsequently changed my mind regarding the efficacy of low-cost fixed and variable annuities in both personal and retirement accounts.”

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5 Key Due Diligence Differences Between Analyzing CIT Risks And Analyzing Mutual Fund Risks Every 401k Fiduciary Must Know

    5 Key Due Diligence Differences Between Analyzing CIT Risks And Analyzing Mutual Fund Risks Every 401k Fiduciary Must Know

Today, in reading some of the headlines, you’d think they’re greater than sliced bread. They may be. They may not be. Still, there are differences, and 401k plans sponsors would benefit from practicing the utmost in due diligence when determining if CITs are the right fit for their plan.

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Are DOL’s ESG Tactics Backfiring With The 401k Fiduciary?

    Are DOL’s ESG Tactics Backfiring With The 401k Fiduciary?

Should the platform offer ESG doesn’t necessarily mean good news for the 401k plan sponsor. Including ESG funds might introduce other risks.

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Fiduciary Challenges For Merging 401k Plans

    Fiduciary Challenges For Merging 401k Plans

If you’re a fiduciary of the acquiring plan, you want to make sure you’re not burdened with any unknown liabilities. If you’re a fiduciary of the acquired plan, you want to make sure the merger process doesn’t introduce new liabilities.

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Exclusive Interview: Spencer Williams Says Post Separation Leakage “A Huge Problem”

    Exclusive Interview: Spencer Williams Says Post Separation Leakage “A Huge Problem”

In theory, 401k plans were always intended to be highly portable, but that’s not what happened. “Portability” only evolved to the extent that the most-attractive balances were picked off and rolled over to IRAs, and everyone else was left holding the bag.

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Exclusive Interview: Luis Aguilar On SEC/DOL Harmonization And Continuing Fiduciary Confusion

    Exclusive Interview: Luis Aguilar On SEC/DOL Harmonization And Continuing Fiduciary Confusion

“Perhaps the continued confusion can be expected given that the term ‘best interest’ is not defined in Reg BI and the word ‘fiduciary’ is not used in defining the new standard. It makes it harder to understand.”

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