Upping the Ante on Conflicts of Interest
Regulatory changes over the years have deeply affected the management of corporate retirement plans. With each major change, the challenge of satisfying the rules becomes more complex for chief financial officers and human resource executives. A new focus on conflicts...CPAs to Give ERISA Plans More Scrutiny
The CPA community is expanding the scope of its ERISA plan audits in reaction to a new federal conflict of interest rule. While the rule was rescinded when the Trump administration was installed. it identified weaknesses in a vital compliance gap that the American...Habits of Best-in-Class Fiduciaries
Human resources managers are hampered by the lack of a regulatory standard for fiduciary best practices. But that doesn’t mean that a reliable framework of compliance ready guidelines doesn’t exist. Professional fiduciary procedures have emerged that form...Retirement Plan Investment Programs Harbor New Risks
Widespread conflicts of interest and overpricing by many investment firms that serve 401(k) and 403(b) plans have been uncovered by the U.S. Department of Labor (“DOL”). Many executives that manage those types of plans are understandably concerned. Maybe...ERISA Regulatory Enforcement Priority
The demise of the confusing Investment Fiduciary Advice Rule has allowed the U.S. Department of Labor (“DOL”) to focus on other enforcement priorities. That’s good news for human resources executives and risk managers because those areas of focus are...Contact us…
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