Posts in Fiduciary Advice
Cybertheft of 401(k) Plan Assets-New Case Highlights Fiduciary Exposure

Fiduciaries ignore cybersecurity at their peril. A new lawsuit puts a spotlight on the risks.

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Does the SEC Expect Investment Advisers to Make a Sweeping Compliance Upgrade?

The SEC thinks that it “clarified” Reg BI when it published a new 42-page interpretation. But to us, it looks like investment advisers may need to make a wholesale upgrade of compliance programs. Read more…

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Can Your Plan Document Protect You From ERISA Class Actions?

Is there a way around ERISA class actions? Do you want to take it?

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Are Your Target Date Funds a Lawsuit Waiting to Happen?

Can you defend your selections if you are sued?

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What Do 3(16) Administrators Do and Should You Hire One?

Did you know that your recordkeeper and vendor are not relieving you of your fiduciary responsibility for plan administration?

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Defined Benefit Plans Are the New ERISA Litigation Targets

ERISA litigation doesn’t only target 401(k) plans and ESOPs. Here are some current lawsuits challenging defined benefit plan practices.

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Do Your Participants Read Their Plan Documents? Why It May Matter

How long do participants have to sue for fiduciary breaches? The Supreme Court will decide.

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Investment Advisers and Managers-Do You Know the Difference?

Carol was interviewed in this article on ERISA 3(21) advisers and 3(38) investment managers and why you should consider hiring them.

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Fiduciaries, Could You Get Your ERISA Excessive Fee Case Dismissed? Lessons From the University of Pennsylvania Appeal

Good Practices to Defeat Excessive Fee Lawsuits

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