The SEC has issued its final Regulation Best Interest (Reg BI), Form CRS Regulation, RIA Interpretation and Solely Incidental Interpretation. I am discussing the SEC’s guidance in a series of articles entitled “Best Interest...more
11/14/2019
/ Benefit Plan Sponsors ,
Best Interest Standard ,
Broker-Dealer ,
Department of Labor (DOL) ,
Employee Benefits ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
IRA Rollovers ,
Regulation Best Interest ,
Retirement Plan ,
Securities and Exchange Commission (SEC)
Lessons Learned from Litigation (#4)—The Johns Hopkins Case -
This is the twelfth in a series of articles about Best Practices for Plan Sponsors. To be clear, “best practices” are not the same as legal requirements....more
This is the eleventh in a series of articles about Best Practices for Plan Sponsors. To be clear, “best practices” are not the same as legal requirements. Instead, they are about better ways to manage retirement plans. In...more
9/11/2019
/ Benefit Plan Sponsors ,
Best Practices ,
Business Expenses ,
Duty of Loyalty ,
Employee Retirement Income Security Act (ERISA) ,
Excessive Fees ,
Fiduciary Duty ,
Investment Management ,
Recordkeeping Requirements ,
Retirement Plan ,
Revenue Sharing ,
Risk Management ,
Settlement Agreements ,
Share Classes
This is the tenth in a series of articles about Best Practices for Plan Sponsors.
To be clear, “best practices” are not the same as legal requirements. Instead, they are about better ways to manage retirement plans. In...more
The DOL’s newly released final regulation on “Association Retirement Plans” (ARPs) will make it easier for groups and associations of employers to jointly sponsor a combined 401(k) or other defined contribution plan. (These...more
Best Practices: Lessons Learned from Litigation (#2)—the Vanderbilt Case -
I am writing two series of articles that together are called “The Bests.” One is about Best Practices for Plan Sponsors, while the other is about...more
6/12/2019
/ 403(b) Plans ,
Benchmarks ,
Benefit Plan Sponsors ,
Best Practices ,
Excessive Fees ,
Fiduciary Duty ,
Investment Management ,
Mutual Funds ,
Recordkeeping Requirements ,
Request for Proposals ,
Retirement Plan ,
Risk Management ,
Settlement Agreements ,
Share Classes ,
Third-Party Service Provider
Best Practices: Lessons Learned from Litigation—the Anthem Case -
I am writing two series of articles that together are called “The Bests.” One is about Best Practices for Plan Sponsors, while the other is about the Best...more
5/21/2019
/ Benefit Plan Sponsors ,
Best Practices ,
Class Action ,
Excessive Fees ,
Fiduciary Duty ,
Interest Rates ,
Investment Adviser ,
Money Market Funds ,
Mutual Funds ,
Plan Administrators ,
Recordkeeping Requirements ,
Request for Proposals ,
Risk Management ,
Settlement Agreements ,
Share Classes