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Tag: ERISA
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Company Stock Decision Requires Two Hats
Including company stock as an investment plan option comes with pros and cons.
Company Stock Continues to Present Client Challenges
Retaining the stock may be best despite litigation risk—and advisers can show the plan sponsor how to do company stock in DC plans the right way.
Foot Locker Ordered to Reform Cash Balance Plan
A court found purposeful miscommunications led participant to expect a different benefit than they were accruing.
Participants Sue Allianz Retirement Plan Fiduciaries
A lawsuit filed by two participants in an Allianz retirement plan claims the company and its asset management partners, including PIMCO, misused employees’ 401(k) plan assets for their...
Lawmakers Want a Review of Fiduciary Rule Changes
In a letter to the DOL, members of Congress ask that changes made to the proposed fiduciary rule be submitted for review to the public before sending to...
Credit Suisse Can Continue Managing Retirement Plan Assets
The bank, which pled guilty to criminal charges last year, applied for an exemption that would enable it to keep its status as a qualified professional asset manager.
PANC 2015: Participant Advice
Under the proposed DOL fiduciary definition, the types of information given to participants are restricted or permitted and the adviser’s compensation model will also be affected. Yet advisers...
House Committee Vote Snubs DOL Fiduciary Proposal
The Republican-controlled House Financial Services Committee approved H.R. 1090, the “Retail Investor Protection Act,” for potential consideration by the floor.
GAO Calls for ERISA Amendment
To expand private-sector coverage, a new report from the GAO calls for Congress to amend the ERISA pre-emption provision.
PANC 2015: Retirement Income Options
A vast majority of individuals say they are open to the idea of in-plan lifetime income options, but only about one in five DC plan sponsors say they’re...
PANC 2015: Adding Wealth Management to Your Practice
Executives provide practical and legal tips for adding wealth management to your practice.
Americans Agree: Fair Advice Requires Regulation
Nearly all American investors agree financial advisers should be required to proactively disclose conflicts of interest, actual or potential, to would-be clients.
Don't Get Left Behind By Money Market Fund Reform
A survey of institutional asset managers highlights persistent uncertainty and lack of preparedness around pending SEC money market reforms.
Participant Could Get Relief for Difference in Document and SPD
A court found a pension plan’s SPD materially conflicted with the plan document, so a participant who expected to receive certain benefits can seek relief.
Do Retirement Plan Advisers Have a Duty to ‘Rat?’
With more advisers taking on a fiduciary role, they should know when to speak up, or walk away, before a retirement plan sponsor gets them in trouble.
Privacy and Security Information Added to Fiduciary Guide
ERISApedia.com’s The Fiduciary responsibility eSource now includes a discussion or privacy and security issues.
The Challenges of Picking a QDIA
Clarifying regulations could help plan sponsors choose plan investments, the GAO says.