Fiduciary Resources

Access tools designed to help financial professionals and plan sponsors understand and fulfill their fiduciary responsibilities.

Defined Contribution Insights

Courts Stay the DOL’s Fiduciary Rules: What It Means for Rollover Recommendations

Fred Reish discusses what the courts, and election, could mean for rollover recommendations.

Defined Contribution Insights

Exploring the Myth that Passive Investments Eliminate Fiduciary Risk

Fred Reish details how the myth that ERISA favors passively managed funds over actively managed funds is not correct.

Defined Contribution Insights

Best Practices for Drafting Investment Policy Statements

The IPS should be a set of guidelines to help, not hinder work.

Defined Contribution Insights

Are Plan Fiduciaries Responsible for Investments Offered Through a 401(k) Plan Brokerage Window?

The DOL’s heightened scrutiny on 401(k) brokerage windows

Defined Contribution Insights

The Fiduciary Duty to Prudently Select and Monitor a Plan’s Investments

Fred Reish reviews how a recent Supreme Court ruling will impact retirement plans

Defined Contribution Insights

3(21) or 3(38)—What’s the Difference?

Once the fiduciaries at a plan sponsor make the decision to hire investment expertise, they need to decide whether to engage with a 3(21) or a 3(38) investment advisor.

Defined Contribution Insights

Annual Review of 401(k) Issues and Decisions

Fred Reish lists some of the most important issues for plan sponsors and fiduciaries to review at the year-end meeting.

Defined Contribution Insights

Evaluating Managed Account Providers

Plan fiduciaries should consider the "individualization" of the managed accounts and the additional services that are offered.

Defined Contribution Insights

Fiduciary Considerations When Offering Managed Accounts to Participants

Adviser managed accounts are becoming increasingly popular in 401(k) plans. Fred Reish discusses what plan sponsors need to know about their fiduciary responsibility when providing this benefit to their participants.

Defined Contribution Insights

Fiduciary Protections: How “Policies” Can Help Manage the Risk

Fred Reish explains the myriad of opportunities for plan sponsors to manage their fiduciary responsibility and reduce their exposure to potential liability.

Defined Contribution Insights

How to Limit Fiduciary Liability

Fred Reish discusses how by properly managing high-risk issues, plan sponsors can reduce their fiduciary liability insurance costs and, more importantly, reduce their chances of being sued.

Defined Contribution Insights

The DOL Speaks: Cybersecurity Is a Fiduciary Responsibility

Fred Reish reviews the DOL’s guidance on cybersecurity issues for retirement plans, focusing on how plan sponsors can mitigate these risks as part of their fiduciary responsibilities.

Defined Contribution Insights

A Framework for Successful 401(k) Plan Committees

Properly structured meetings can help plan fiduciaries engage in prudent processes and decision making.

Defined Contribution Insights

401(k) Plan Committees: Your Checklist for Success

This fillable, quarter-by-quarter checklist serves as a practical way to ensure plan committees spend time each year on the most important issues that affect their plans.