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Library » Webinar: How Much Is Active Management Worth?

March 29, 2018 | Retirement Plans

  Documenting the reasonableness of 401(k) investment options has never been so difficult or so important. Today’s unique market environment, participant risk tolerance, and risk capacity creates new fiduciary risk. in this webinar, we discuss prudent approaches to evaluating …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 15: Fiduciaries: “Can someone just tell me what to do?”

September 13, 2017 | Retirement Plans

Eight of ten employers say they’re concerned about an increase in fiduciary litigation. And more than a quarter listed fiduciary liability and litigation as their top 401(k) concern. Employers’ concern is understandable. Although most employers would confidently say they have the best …

Library » Webinar: Fiduciary Fee Reasonableness: Breaking Down Litigation Teachings

March 29, 2017 | Retirement Plans

Even with the seemingly ever-changing uncertainty around regulations, there are actionable ways to push forward. Recent 401(k) litigation has helped define fee reasonableness and provides considerable guidance to the industry, including decisions with IRA clients. We break down these cases and …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 13: Fiduciary Fee Reasonableness

March 08, 2017 | Retirement Plans

Fee reasonableness is a fundamental and widely discussed fiduciary topic. Despite the importance of the topic, the Department of Labor (DOL) hasn’t given much insight or guidance as to what is considered a reasonable fee. As a result, much of the interpretation of what is and is not reasonable …

Shelby George

Senior Vice President, Advisor Services

Library » Converge, Volume 12: Trump and the Fiduciary Rule—Managing Uncertainty

December 07, 2016 | Retirement Plans

With Donald Trump named president-elect, a myriad of current policies have been put into question - including the Department of Labor’s Fiduciary Rule. While this rule is not set to take effect until April 2017, there is question as to whether Trump’s election could halt its implementation. …

James Esposito

Qualified Plans Consultant

Library » Converge, Volume 12: What’s New with the Form 5500?

December 07, 2016 | Retirement Plans

The Department of Labor’s (DOL) new conflict of interest rule creates many new administrative requirements and disclosure requirements for fiduciaries. The requirements themselves can be daunting, but so too is the prospect of enforcing compliance. For that, the DOL empowered the plaintiff’s …

Shelby George

Senior Vice President, Advisor Services

Library » 3 Influencers Driving Today’s Fiduciary Best Practices

November 21, 2016 | Retirement Plans

As the Department of Labor (DOL) has redefined “investment advice,” they have undoubtedly accelerated the evolution of what it means to be a fiduciary. Regulators are but one of the three key influencers shaping best practices for new fiduciaries. Financial institutions are working aggressively …


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