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Compliance

Who’s Responsible for Keeping Retirement Plan Records?

Who’s ultimately responsible for retention of retirement plan records: the sponsor, or the participant? It’s an interesting conundrum. In a recent case, the 9th U.S. Circuit Court of Appeals ...

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401k Plans Focus on Fees Losing Sight of Value

At a TPSU program held at LaSalle University, Adjunct Lecturer Tim Dougherty describes the increased focus by 401k plan sponsors on fees and how he tries to keep the ...

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What’s Triggering DOL Audits Today

At a TPSU program held at Adelphi University, a former IRS investigator now working with ERISA plans like 401ks and 403bs explains what is triggering DOL audits this year. ...

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What is an Investment Policy Statement, and Why Have One?

Legally, creating an investment policy statement (IPS) isn’t mandatory for defined contribution (DC) plans. But the Department of Labor does require plan sponsors to be prudent about selecting and ...

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Are 401k Service Providers Double Dipping?

Are 401k Service Providers Double Dipping

A Minnesota financial advisor blogs about potential double dipping by 401k record keepers and advisors. With the new DOL conflict of interest rules, providers will be under greater scrutiny. ...

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Six Smart Ways To Limit Sponsor Liability

Being a plan sponsor comes with plenty of responsibility, but there are several ways you can protect yourself driving many to attend our TPSU programs. Simple tasks like keeping ...

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