DOL Guidance Archives - 401k Plan Optimization, Compliance, Investment & Partners

Supreme Court Decision Lowers the Bar for ERISA Lawsuits Against Plan Sponsors

By Fred Barstein / 401(k) Plan Management, Benchmarking & Monitoring Fees & Partners, Benchmarking Fees, Communication, DOL, DOL Guidance, erisa, ERISA Advisory Council, fee compression, fee lawsuits, fee transparency, Fiduciary, Fiduciary, investment, Managed Accounts, provider due diligence, Record Keepers, Recordkeeping, Retirement Plan Advisor Due Diligence, Retirement Plan Fees

A recent Supreme Court decision has changed the legal landscape for plan sponsors, making it easier for plaintiffs to file lawsuits over how plans do...

Quarterbacking Retirement Plans: Advisors at the Center of Success

By Fred Barstein / 401(k) advisor trust, 401(k) Plan Management, 401k Advisor, 401k plan, Client connection, Communication, DC Plan Sponsors, DOL Guidance, Employee engagement, Fiduciary, Financial Advisors, financial wellness, Investments, Professional Retirement Plan Fiduciary Services, Retirement Plan Advisor, Retirement Plan Consultants

A retirement plan advisor plays a pivotal role in supporting both plan sponsors and participants. Beyond managing investments, advisors ensure all service providers—such as TPAs,...

Plan Sponsors Get Go-Ahead on Alternatives as DOL Shifts Stance

By Fred Barstein / benefit education, Changing dynamics, DOL, DOL Guidance, erisa, Fiduciary, financial wellness, Legislation

Plan sponsors who’ve been waiting for clearer regulatory guidance on alternative investments just got the signal they’ve been looking for. The Department of Labor’s Employee...

Responding to Cyber Attacks: What Plan Sponsors Must Know

By Fred Barstein / Cyber Security, cybersecurity, cybersecurity insurance, DC Plan Sponsors, DC plans, DOL, DOL Guidance, erisa, ERISA Advisory Council, financial stress management, financial uncertainty, Financial Wellness

Cyberattacks don’t announce themselves. They slip through defenses quietly, often going undetected until participant data is already compromised. Most retirement plan sponsors assume their plan...

401k Real Chat: Jamie Greenleaf on Healthcare Fiduciary Risk

By Fred Barstein / 401(k) Plan Management, benefit education, Benefits integration, Changing dynamics, collaboration, Communication, Convergence, DC Plan Sponsors, DOL Guidance, Employee happiness, Fiduciary, Financial Advisors, Financial Wellness, Health & Wellness, healthcare

In this episode of 401k Real Chat, Fred Barstein spoke with Jamie Greenleaf, co-founder of Fiduciary In A Box and longtime industry veteran, to talk...

How Good Governance Helps Plan Sponsors Meet Their ERISA Obligations

By Fred Barstein / 401k News, Communication, DOL, DOL Guidance, Employee Benefits, erisa, Fiduciary, Fiduciary, financial wellness, investment policy statement, SECURE 2.0

Multimillion-dollar ERISA settlements make headlines weekly, and government audits continue to challenge fiduciary decisions in retirement plans. In light of these trends, solid governance isn’t...

ERISA Advisory Council: 3 Ways to Transform Plan Defaults

By Fred Barstein / DC Plan Sponsors, DOL, DOL Guidance, erisa, ERISA Advisory Council, Financial Wellness, IRA Roll overs and Roll ins, Retirement Income, Retirement Readiness, Retirement Savings Concern

The ERISA Advisory Council (EAC) has delivered a roadmap for enhancing qualified default investment alternatives (QDIAs) that could reshape how retirement plan sponsors approach retirement...

PE Industry Considers Move to Enter 401(k) Market

By Fred Barstein / 401k News, 6th Annual RPA Broker/Dealer Roundtable, CEO Engagement, Changing dynamics, Changing Recordkeepers, DC plans, DOL, DOL Guidance, Early retirement, Economy, education, fee compression, fee transparency, Fiduciary, Financial Wellness, investment, Investments, Private equity, product quality, Regs and Regulators, Retirement Advisory, Retirement Plan Advisor, Retirement Plan Advisor Due Diligence, specialized team

With President Trump just days away from his second term in the White House, private equity firms are eyeing the massive 401(k) market with renewed...

Improved Retirement Confidence Starts with Clarity

By Fred Barstein / adult learning, Behavioral Finance, benefits committee, Benefits integration, Communication, Communication, Confidence, Digital Tools, DOL Guidance, Economy, Employee engagement, Employee happiness, Fiduciary, Financial Advisors, Financial Stress, financial stress management, Financial Wellness, Health & Wellness, inflation concerns, managed financial stress, Peer to peer learning, Retirement Happiness, Retirement Readiness, Retirement Savings Concern

New research from the Employee Benefit Research Institute (EBRI) shows Americans are cautiously confident about their retirement prospects. However, confidence comes from understanding, and many...

Maximizing Retirement Plans: The Vital Role of TPAs and Advisors

By Fred Barstein / 401k News, benefit education, benefits committee, Client connection, Communication, Compensation, Compliance, Convergence, Cyber Security, DC plans, Digital Design, Digital Tools, DOL Guidance, Due Diligence, Fiduciary, Financial Advisors, Financial Security, Financial Wellness, Managed Accounts, Private Wealth & Retirement Planning, Recordkeeping, Regs and Regulators, Retirement Happiness, Retirement Readiness, Target Date Funds

A good Third-Party Administrator (TPA) plays a crucial role in managing and administering retirement plans, providing a range of services that ensure compliance, efficiency,...

Plan Sponsors Get Go-Ahead on Alternatives as DOL Shifts Stance

ERISA Advisory Council: 3 Ways to Transform Plan Defaults

PE Industry Considers Move to Enter 401(k) Market

Improved Retirement Confidence Starts with Clarity

Maximizing Retirement Plans: The Vital Role of TPAs and Advisors

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