Explore Fred’s latest insights on fiduciary responsibility, ERISA developments, retirement policy, regulatory guidance, and the evolving landscape of financial and retirement services.
My earlier posts discussed four of the six Factors in the DOL’s proposed regulation that apply to most investments in participant-directed private sector plans. This article discusses the first example of the application of the Liquidity Factor, which is one of the two Factors (along with the Valuation Factor) that
This article continues the discussion of the DOL’s Performance Benchmark factor by reviewing the third example of the application of that factor. As background, the DOL’s proposed regulation on selecting investments, including alternative assets, 2026-06178.pdf, identifies six factors that should be considered in the process of selecting any investments for
This article continues the discussion of the DOL’s Performance Benchmark factor by reviewing the second example of the application of that factor. As background, the DOL’s proposed regulation on selecting investments, including alternative assets, 2026-06178.pdf, identifies six factors that should be considered in the process of selecting any investments for
My prior posts completed the discussion of the four Factors in the DOL’s proposed regulation that apply to most investments in participant-directed private sector plans. This article turns to the first of the two Factors that are specifically designed to address illiquid and hard-to-value investments, such as private funds. The
This article continues the discussion of the DOL’s Performance Benchmark factor by reviewing the first example of the application of that factor. As background, the DOL’s proposed regulation on selecting investments, including alternative assets, 2026-06178.pdf, identifies six factors that should be considered in the process of selecting any investments for
The DOL’s proposed regulation on selecting investments, including alternative assets, 2026-06178.pdf, identifies six factors that should be considered in the process of selecting any investments for participant-directed plans, such as 401(k) plans and private sector 403(b) plans. The six factors are: Performance, Fees, Liquidity, Valuation, Performance Benchmark, and Complexity. The
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