What Does Best Interest Mean . . . In the Real World? (Part 4) I am writing two series of articles that together are called “The Bests.” One is about Best Practices for plan sponsors, while the other is about the Best Interest Standard of Care for advisors. Each series
What Does Best Interest Mean . . . In the Real World? (Part 3) I am writing two series of articles that together are called “The Bests.” One is about Best Practices for plan sponsors, while the other is about the Best Interest Standard of Care for advisors. Each series
Fiduciary Training: The Need for Basics This is the fifth of the series about Best Practices for Plan Sponsors. In three earlier posts—Best Practices for Plan Sponsors #2, #3, and #4—about the Sacerdote v. New York University decision, I discussed the good and the bad of the NYU plan committee and
What is the Baseline for A Committee to Act in the Best Interest of its Participants? (Part 3) This is the fourth of the series about Best Practices for Plan Sponsors. In my last two posts (Best Practices for Plan Sponsors #2 and Best Practices for Plan Sponsors #3), I discuss
What is the Baseline for A Committee to Act in the Best Interest of Its Participants? (Part 1) This is the second of the series about Best Practices for Plan Sponsors. The recent decision in the case of Sacerdote v. New York University is a classic story of the good and
Regulation Best Interest Recommendations by Broker-Dealers: Part 3 This is my 97th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and the SEC’s “best interest” proposals. In my last two articles—Part 1 and Part 2 on this topic, I discussed the fact that proposed Reg BI
Regulation Best Interest Recommendations by Broker-Dealers: Part 2 This is my 96th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and the SEC’s “best interest” proposals. In my last post, I compared the proposed best interest standard of care for broker-dealers—the SEC’s Regulation Best Interest (“Reg
Regulation Best Interest Recommendations by Broker-Dealers: Part 1 This is my 95th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. By now, you probably know that both the SEC’s proposed Regulation Best Interest (“Reg BI”) for broker-dealers and
SEC Proposed Reg BI and Recommendations of Rollovers (Part 3) This is my 94th article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. Part 1 of this series discussed the provisions in the SEC’s proposed Regulation Best Interest that
SEC Proposed Reg BI and Recommendations of Rollovers (Part 2) This is my 93rd article about interesting observations concerning the Department of Labor’s (DOL) fiduciary rule and exemptions and the SEC’s “best interest” proposals. In my last post, I described the similarities between the SEC proposed Regulation Best Interest (Reg
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