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Tag "liability"

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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Is ESG Investing A Problem For Fiduciary Duty?

    Is ESG Investing A Problem For Fiduciary Duty?

The Biden Rule, like the Trump Rule, does not encourage or discourage the use of ESG criteria when selecting investments. This allows fiduciaries to either adopt ESG principles or ignore them.

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Can Cost Trump Your Fiduciary Duty?

    Can Cost Trump Your Fiduciary Duty?

If a fiduciary feels carrying out legal duties entails a high cost, there is an acceptable strategy for dealing with this, but the fiduciary must execute it before the client signs the contract.

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401k Plan Sponsor Fiduciary Fears Differ From Retirement Advisers Concerns

    401k Plan Sponsor Fiduciary Fears Differ From Retirement Advisers Concerns

Documentation, due diligence, and other formal compliance matters are critical to reducing the fiduciary liability of 401k plan sponsors. But ultimately, they are responsible for safeguarding the assets of plan participants.

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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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Crypto Craze Cracks, Raising Potential 401k Fiduciary Liability?

    Crypto Craze Cracks, Raising Potential 401k Fiduciary Liability?

Even without these extremes, this asset class brings with it a roller coaster experience, something many retirement savers won’t be able to stomach.

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