DOL

Summer Homework for Fiduciaries
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As you bask in the glory of summer over the next couple of months, don’t forget the three Fs that define this cherished season — fun, fireworks, and fiduciary! While you’re enjoying the fruits of summer, don’t forget your fiduciary responsibilities! Ask yourself the following questions to make sure you are on top of your  Read More →
Q4 2018: Fiduciary Hot Topics: How You Doin’?
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Grab your coffee and read on for the latest fiduciary fodder! DOL’s New Fiduciary Rule & the SEC’s Best Interests Rule – Hopefully they will Intersect This past March, almost 10 years after the “new” Fiduciary and Best Interest Contract (BIC) rules were first proposed, the Fifth Circuit of the U.S. Court of Appeals vacated  Read More →
Fiduciary Liabilities: What Are They? How Can They Be Mitigated?
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“Risk comes from not knowing what you are doing.”-Warren Buffett Being an ERISA fiduciary may entail personal liability. In addition to making the plan whole for any losses resulting from a breach of fiduciary duty, a fiduciary may be required to disgorge any profits obtained in committing the breach, and be subject to “such other  Read More →

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