- Plan
Fees - Due
Diligence - Investment
Menu - Investment
Duties - Fiduciary
Status - Fiduciary
Liability - Rollover
Assets - Top 5 Hot
Fiduciary Topics
Plan fees with
Marcia Wagner
Plan Fees: 401(k) Fees, Disclosure & Best Practices
In light of regulatory and litigation–driven scrutiny of 401(k) plan fees, many plan fiduciaries are adopting best practices intended to satisfy the related fiduciary requirements under ERISA. This guide, prepared by The Wagner Law Group, provides an overview of fees and the related fiduciary requirements under ERISA and offers suggested best practices to help you help your plan sponsor clients evaluate 401(k) fees properly.
Due Diligence with
Marcia Wagner
Due Diligence: Due Diligence Review of Existing 401(k) Plans
Before signing on to be a Fiduciary on a 401(k) plan, consider a "due diligence" review of the existing plan's operations. Not only will you demonstrate your value to new clients through your in-depth knowledge of their plan, but you'll help protect yourself from potential co-fiduciary liability. Whether you're providing investment-only service or proposing a bundled solution to the sponsor, this guide, prepared by The Wagner Law Group, provides insight into a plan's state of compliance with the tax-qualification requirements under Title II of ERISA.
Investment Menu with
Marcia Wagner
Investment Menu: Advising 401(k) Clients on the Investment Menu
Demonstrate your value as an investment fiduciary and expert to new 401(k) clients and help protect yourself from potential fiduciary legal liability. Whether you're taking over new 401(k) plans or focusing on maintaining good practices and procedures for your existing plans, this guide, prepared by The Wagner Law Group, provides important information about advising plan sponsors on the plan's investment menu to foster compliance with the fiduciary requirements under Title 1 of ERISA.
Investment Duties with
Marcia Wagner
Investment Duties: Advising 401(k) Clients on Their Core Investment Duties
Highlight the central investment duties imposed on plan sponsors under ERISA and the actions that should be taken to satisfy them.
This core fiduciary guide, prepared by The Wagner Law Group, provides an overview of all of the various duties required of plan sponsors and other persons serving as fiduciaries to 401(k) plans, and how these duties impact their investment decisions. It also explains how you can support your 401(k) client's efforts to manage the plan's investment menu successfully.
Fiduciary Status with
Marcia Wagner
Fiduciary Status: Understanding the Different Roles and Status of 401(k) Plan Fiduciaries
There is a great deal of confusion about fiduciary responsibilities under the Advisers Act, FINRA, state law and ERISA and how these separate rules interact with one another in the context of a 401(k) plan. This guide, prepared by The Wagner Law Group, will help you understand how plan fiduciaries can assume different roles under a plan, resulting in different varieties of fiduciary status and titles. These differences have significant implications for you and your 401(k) clients, given the different types of responsibilities arising under ERISA depending on one's fiduciary status.
Fiduciary Liability with
Marcia Wagner
Fiduciary Liability: Liability Case Studies & Strategies for 401(k) Plan Fiduciaries
Help protect yourself and your 401(k) clients from potential legal liability by understanding the indemnification and insurance provisions of ERISA and how plan fiduciaries may be impacted by them. This guide, prepared by The Wagner Law Group, includes three case studies highlighting the real–life importance of understanding ERISA provisions. Whether you're taking over a new 401(k) client or are focused on servicing existing plan clients, the information included in this guide can offer another way for you to provide value to your clients.
Rollover Assets with
Marcia Wagner
Rollover Assets: Navigating ERISA Restrictions on Cross-Selling to 401(k) Plan Participants
Capture rollover assets the right way by equipping yourself with the knowledge you need to navigate the special ERISA rules which impact how you can and can't pursue rollover assets. This guide, prepared by The Wagner Law Group, investigates the scope and nature of the rigid restrictions under ERISA that limit the ability of fiduciary advisors to capture rollovers. Taking advantage of this analysis, it provides practical suggestions to help you get past the restriction on cross-selling to plan participants and successfully gather rollover assets.
Top 5 "Hot
Fiduciary Topics"
Top 5 "Hot Fiduciary Topics" Webcast
Did you know?
- that the way financial advisors may provide rollover guidance to plan participants is under scrutiny?
- that regulators have announced that the use of target date funds as default investments will be subject to further restrictions?
- that the regulatory definition of "Fiduciary" is going to be revised?
Marcia Wagner, an ERISA expert from The Wagner Law Group, discusses the top five hot fiduciary topics currently shaping the 401(k) legal and regulatory landscape. Stay abreast of the ever-changing legal and regulatory landscape and learn about these and other "hot topics" that every financial advisor needs to know.
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