Tag: Fiduciary

Fred Reish, a partner at Drinker Biddle & Reath, the Los Angeles law firm, has launched fredreish.com, a blog about retirement regulation and compliance.

The future for advisers includes more fiduciary responsibility and a focus on participant outcomes, said panelists at PLANADVISER’s 2013 Top 100 Retirement Plan Advisers seminar on Wednesday.

A white paper aims to help defined contribution (DC) plan sponsors understand how they can manage their investment responsibilities.

Mesirow Financial Investment Strategies’ Fiduciary Partnership Services are now available through Vanguard Retirement Plan Access.

The Future of Finance Project’s aim is to shape financial services into a more trustworthy industry.

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) requires that swap transactions go through a clearing process.

Annuity contracts can bring up several Employee Retirement Income Security Act (ERISA)-related issues that plan sponsors should consider.

With care, individual retirement account (IRA) rollovers from 401(k)s are possible.

Retirement plan sponsors should beware of potential fiduciary pitfalls when combining the summary plan description (SPD) and prospectus.

ERISA (Employee Retirement Income Security Act) 3(21) and 3(38) fiduciary services have been added by July Business Services for qualified retirement plan sponsors.  

Win-loss survey data shows the proportion of plan sponsors remaining with the incumbent after conducting full 401(k) provider searches has continued to grow.

Investors should remain defensive in 2013 but at the same time not be averse to taking on some risk, according to a Prudential expert.

Stadion Money Management is offering ERISA 3(38) discretionary investment management for its target-date funds (TDFs).

The Guardian Insurance & Annuity Co. Inc. launched a tool to help advisers assist their clients with service provider needs.

 T. Rowe Price launched FiduciarySource, an online program designed to help plan sponsors better understand and fulfill their fiduciary obligations.  

The Department of Labor’s (DOL’s) re-proposal of the definition of fiduciary is another indication that fiduciary responsibilities are increasing, and broker/dealers in particular could be impacted.