Compliance
Why the Fiduciary Standard Can’t Live in Harmony
Is the call for “harmonizing” the SEC and DOL versions of the fiduciary standard merely a ruse to thwart the entire effort?
The Role and Responsibilities of the Individual Trustee
If this doesn’t scare you…
Experts Sound Off on DOL’s 401k MEP Advisory Opinion
Did the DOL just cut off the best chance for small businesses to offer low cost retirement plans to their employees?
Will Broker Evolution Obviate the Fiduciary Standard Debate?
The anti-fiduciary standard tirade may merely be the tired last gasps of a once thriving business model.
Is Dual Registration the Cause of Opposition to the Fiduciary Standard?
Did a Clinton-era misguided quid pro quo, ultimately approved during the Bush administration, lead to the house of cards we see today?
Stunning Academic Study May Cause DOL to Retain Original Proposal for Fiduciary Definition
To the extent regulation improves efficiencies, there will always be winners and losers. Those who don’t benefit will always oppose the change.
408(b)(2) Compliance and the Service Provider List
Fee Disclosure must be done by service. 401k plan sponsors relying on bundled service providers might be in for a surprise.
401k Plan Sponsors and the Risk of Fiduciary Liability
Things just got a lot tougher for plan sponsors. Here’s what expert ERISA attorneys have to say.
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