Weekday news and analysis for retirement plan advisers
Monday, December 27, 2021
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From the Magazine
‘Window’ of Opportunity
If the participant may invest in certain unregistered securities, ownership of such securities can result in the plan incurring taxable income called unrelated business taxable income. To the extent an adviser provides investment advice in connection with brokerage windows, he may very well be acting as a fiduciary for purposes of ERISA and thus must comply with it when advising the named fiduciary.
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Nonenforcement Policies
Some of the DOL’s prohibited transaction exemptions apply now.
Today’s Most Read
1.
Emergency Savings Linked to Less 401(k) Loan Use, Stronger Retirement Outcomes
2.
DOL Stops Enforcing Biden-Era Independent Contractor Rule
3.
2025 PLANADVISER Adviser Value Survey
Cybersecurity Considerations
How to select and monitor recordkeepers.
Provider Recommendations
Does relying on certain ‘go-to’ providers have implications under ERISA?
Cybersecurity and ERISA
DOL guidance should prompt clients to ask for help with compliance.
Now a Fiduciary
A prudent process for rollover advice.
Rollovers and Fiduciaries
Recent DOL guidance expands the definition of fiduciary advice.
Caution Needed Regarding Rollovers
Many recommendations may now be investment advice.
Market Mirror
Editor’s Note: Market data updates will resume after the New Year holiday.
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