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Tag "liability"

The American Airlines ESG Fiduciary Case Exposed The Problem With Mandated Proxy Voting (And More)

    The American Airlines ESG Fiduciary Case Exposed The Problem With Mandated Proxy Voting (And More)

Herein lies the potential for a direct conflict of interest. This applies generally to all proxy voting in commingled portfolios.

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Does The American Airlines ESG Fiduciary Case Suggest The End Of Active Management?

    Does The American Airlines ESG Fiduciary Case Suggest The End Of Active Management?

Since actively managed funds have lagged index funds, does this case put their continued use in ERISA plans at risk?

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401k Plan Sponsors Must Be Wary Of Fiduciary Liability Associated With Bitcoin ETFs

    401k Plan Sponsors Must Be Wary Of Fiduciary Liability Associated With Bitcoin ETFs

Plan sponsors need to think about it in these terms: Does it make sense to have a pork-belly ETF on a 401k investment menu? How about orange futures?

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Plan Sponsor Worries About 401k To IRA Direct Transfers

    Plan Sponsor Worries About 401k To IRA Direct Transfers

The process of transferring assets is not without its own liabilities. The exact nature of the fiduciary risk depends on the nature of the transfer.

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DOL Approves Citi’s ‘Diverse Asset Program’ for 401ks—What Could Go Wrong?

    DOL Approves Citi’s ‘Diverse Asset Program’ for 401ks—What Could Go Wrong?

The DOL seems to use the same metric that it earlier employed in its statement on the Fiduciary Rule. Still, the Advisory Opinion is very precise in what it allows. Citi will have to tread carefully to not cross the line into the realm of fiduciary.

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What Do You Think Of These Auto-Enrollment/Auto-Escalation Trends?

    What Do You Think Of These Auto-Enrollment/Auto-Escalation Trends?

Overall, nearly 1 in 5 companies still have not adopted auto-enrollment. There are common reasons why companies would not include auto-enrollment in their plans.

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Five Forlorn 401k Flops To Forever Forsake

    Five Forlorn 401k Flops To Forever Forsake

This week is all about those wayward 401k features that are well beyond their expiration date. Careful, though. In the process, you’ll see what’s garbage to one is a work of art to another.

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What Professional Fiduciary’s Really Think Are 401k Plan Sponsors’ Biggest Challenge

    What Professional Fiduciary’s Really Think Are 401k Plan Sponsors’ Biggest Challenge

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.

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A 401k Plan Sponsor Fiduciary Puzzle: Are Low Fees High Risk?

    A 401k Plan Sponsor Fiduciary Puzzle: Are Low Fees High Risk?

You cannot understate the fiduciary aspect of lower fees. Most 401k plan sponsors, and especially those in smaller plans, don’t have the time or expertise to administer their company’s retirement plan. If they skimp on fees, are they also skimping on the fiduciary protection those professionals are supposed to provide?

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