The process of conducting periodic due diligence on the performance and fees of an investment. 401k and 403b plans are required to insure that fees are reasonable under section 408b2 and are required to disclose fees to plan participants under 404a5. Defined contribution plans like 401k and 403b are usually advised to create and investment policy statement or IPS which describes the characteristics of the investments that the DC plan should have in their plan against which they can make thoughtful selections and can properly monitor and replace when necessary.
Retirement plan cybersecurity is now a top priority focus for the Securities & Exchange Commission (SEC) and the Department of Labor (DOL). Both agencies have…
Retirement Plan Cybersecurity Becomes a Priority for the SEC & DOL Read More »
401(k) fee lawsuits over investment fees continue to proliferate. Planadviser has reported that Northern Trust Corporation and Northern Trust Inc., as investment fiduciaries, have been…
Fiduciary Responsibility Unclear When Handling Participant Data? Ask the Lawyer By Carol Buckmann Fiduciary responsibility has blurred-lines around the use of participant data. Can your…
Fiduciary Responsibility Unclear When Handling Participant Data? Ask the Lawyer Read More »
Retirement Committee Education Can Meet Training Needs By Carol Buckmann Retirement Committee Education can prove to be a priceless asset for your company. Do you…
Retirement Committee Education Can Meet Training Needs – Ask the Lawyer Read More »
401k Plan Advisor Makes Dramatic Improvements 401k plan advisor services can be the difference in helping plan fiduciaries and retirement plan committees to maintain a…
401k Investment Committee Requirements Are Clear 401k investment committees have a fiduciary responsibility to regularly monitor and periodically evaluate the quality of a plan’s investment…
401k Investment Committee Requirements Are Clear Read More »
Retirement Plan Investment Fees Need Oversight Retirement plan investment fees continue to be a hot topic for plan sponsors, retirement committees and the Department of…
Behavioral Finance Investor Bias Can Crush 401k Participants Behavioral finance investor bias can decimate the returns of 401k Participants. Behavioral finance investor bias can also…
Behavioral Finance Investor Bias Can Crush 401k Participants Read More »
401k Plan Investment Choices Need to be Monitored by the Numbers 401k plan investment choices come in many wrappers, sizes, and structures. Plan fiduciaries are…
401k Plan Investment Choices Need to be Monitored by the Numbers Read More »
401k Plan Fees can be an Asset for Your Plan Participants if Properly Managed 401k plan fees are top of mind for every Plan Fiduciary…
401k Plan Fees can be an Asset for Your Plan Participants if Properly Managed Read More »
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