Compliance
How Will New ADV Part 2 Help (or Hurt) 401k Plan Sponsors?
The SEC’s new Form ADV Part 2 makes it harder for 401k Plan Sponsors to feign ignorance when it comes to conflicts of interest.
DOL Fiduciary Hearings: Why 401k Plan Sponsors Need to Pay Attention
Since no individual 401k plan sponsors seem interested in testifying at a hearing about an issue intended to protect them, we’ve provided three possible outcomes from the DOL Fiduciary hearings and their implications for 401k plan sponsors.
New York Fiduciary Panel Yields Surprise Honesty While Drawing Lines in the Sand
Thus were lines drawn in the sand. We’re left to wonder if the tide of time will wash away those lines or merely wash away the sense of urgency for a uniform fiduciary standard.
SEC Fiduciary Report: Who Won? Advisers? Brokers? Or 401k Plan Sponsors?
Was the initial euphoria of proponents of the Fiduciary Standard premature? Read the fine print of the SEC report here and decide for yourself.
Should What DOL’s New Regs Reveal about Most Widely Held 401k Mutual Funds Worry Plan Sponsors?
The question remains: Do the new DOL mutual fund reporting requirements merely add to the worries of 401k plan sponsors?
Will DOL’s New Mutual Fund Fee Disclosures Mislead 401k Investors?
“What is intended to help participants, may hurt them as their decisions are driven by confusion and data overload.”
DOL’s New Performance Reporting Requirements: A Boon or a Risk to the 401k Fiduciary?
The DOL’s new requirements offer some good and some bad news. The question is do the benefits of the good offset the dangers of the bad? Discover both in this article.
A Fiduciary Test Drive of New DOL Fee Chart Using Top 401k Funds
Here’s your chance to see a real example of the new DOL 401k Disclosure Rule in practice. Complete with links to vital DOL documents.
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