Financial Services & Wealth Management News
July 26, 2020

Summer Homework for Fiduciaries

Summer Homework for Fiduciaries Morgan Davis, Plan Advisor As you bask in the glory of summer over the next couple of months, don’t forget the three […]
June 25, 2020

Are Your Participants Experiencing a Fee Imbalance?

Subsequent to the 2012 implementation of ERISA fee reporting regulations (ERISA 408(b)(2) & 404(a)(5)), the Department of Labor (DOL) began to consider the appropriateness of the […]
May 25, 2020

How and When to Pay Plan Expenses with Plan Assets

Some retirement plan expenses can be paid for with plan assets — but many can’t. Which are the “reasonable and necessary” retirement plan expenses that can […]
April 29, 2020

Complying with ERISA 404(c)

According to ERISA, plans intending to comply with 404(c) must ensure that participants: Have the opportunity to choose from a broad range of investment alternatives (which […]
April 29, 2020

Are You Ready for an Audit?

Several events can trigger a DOL or IRS audit, such as employee complaints or self-reporting under the annual submission of the Form 5500. Oftentimes an audit […]
March 5, 2020

Staying the Course: Coronavirus and Past Market Epidemics

As of February 28, 2020, global stock markets have entered “correction” territory, defined as a 10% decline from the index high. This is in large part […]