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Tag "DOL"

5 401k Participant Savings Strategies That Are More Effective Than Projected Income Disclosure

    5 401k Participant Savings Strategies That Are More Effective Than Projected Income Disclosure

All these strategies can be employed today and have proven themselves effective. It’s unclear that disclosing projected retirement income will provide the kind of incentive that will work.

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To Vote Or Not To Vote, That Is The Proxy Question For The Retirement Plan Fiduciary

    To Vote Or Not To Vote, That Is The Proxy Question For The Retirement Plan Fiduciary

If a fiduciary must vote proxies, following the DOL’s guidance may represent the most practical alternative.

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Should A 401k Fiduciary Treat ESG As An Asset Class, A Stock Valuation Factor, Or Neither?

    Should A 401k Fiduciary Treat ESG As An Asset Class, A Stock Valuation Factor, Or Neither?

ESG isn’t going away. There’s no way of telling if it’s a mood ring or a diamond ring. One thing is eminently clear: ESG is a product that people want right now. This complicates life for the retirement plan fiduciary.

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ESG, the DOL, and the Fiduciary Imperative

    ESG, the DOL, and the Fiduciary Imperative

The most pertinent issue may not be the fiduciary imperative, but the marketing imperative. This makes things extremely difficult for the 401k plan sponsor who may sometimes confuse which has priority. Here’s an example of why a plan sponsor might be concerned.

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Exclusive Interview: Phyllis Borzi on the SECURE Act, Target Date Funds, and “Discredited Disclosure”

    Exclusive Interview: Phyllis Borzi on the SECURE Act, Target Date Funds, and “Discredited Disclosure”

“That is one of the key weaknesses of the SEC’s Reg BI. It allows brokers to claim they are working in an investor’s best interest without being held to a legal duty of loyalty”

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What is a 401k Investment Policy Statement (IPS)?

    What is a 401k Investment Policy Statement (IPS)?

Although we’ve seen a broader acceptance of using an IPS, their use is by no means universal and particularly lacking among smaller employers. Perhaps there’s a realization that, if you don’t get the IPS right, you’ll only increase your liability.

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Exclusive Interview: Skip Schweiss Says Public Today “Much More Aware” of Need to Work With Fiduciary

    Exclusive Interview: Skip Schweiss Says Public Today “Much More Aware” of Need to Work With Fiduciary

“Surveys show about half of investors don’t know how much they’re paying for advice, and about one in six think they pay nothing.”

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How to Address Top Fiduciary Issues for Trade Associations Sponsoring 401k MEPs

    How to Address Top Fiduciary Issues for Trade Associations Sponsoring 401k MEPs

It appears all but certain the floodgates will soon open wide, unleashing a torrent of trade association sponsored 401k MEPs. If you’re looking for the trigger that will open those floodgates, here’s what you should be paying attention to.

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Exclusive Interview: Terrance Power Tells All About What’s Changed (and More!) With 401k MEPs

    Exclusive Interview: Terrance Power Tells All About What’s Changed (and More!) With 401k MEPs

“401k Multiple Employer Plans (MEPs) are a solution for the small to mid-sized employer market that will lead to the expansion of retirement plan coverage for America’s workers.”

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This is How 401k Plan Sponsors Get Education Answers to These Three F-Words

    This is How 401k Plan Sponsors Get Education Answers to These Three F-Words

401k plan sponsors have a renewed focus on the three F-words of offering employee retirement benefits: Fiduciary, Fees, and Financial Wellness. Here’s how plan sponsors answer questions related to each of these three F-words.

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