News Articles and White Papers

The ASPPA Journal published this article in its FALL 2008 issue. The article discusses a compensation trend that affects the compensation structure of advisers in the future. For a copy of the article click here.

It is expected that significant change will occur when the proposed regulations under Section 408(b)(2) become final. However, "Section 408(b)(2) Proposed Regulations and ERISA's General Fiduciary Obligations" written by David J Witz, Managing Director of Fiduciary Risk Assessment LLC and published by BNA, Inc. in the ERISA Compliance & Enforcement Library (June 2008), reflects on legislative and regulatory history that has always required a fiduciary to obtain the necessary information to assess whether fees (direct or indirect) for services rendered are reasonable as well as determine and verify if there are any conflicts of interest. To download a PDF copy of this article click here.

"In Search of the Perfect 401(k) Plan" represents a response to those who posed the same question to me during the recent fi360 Conference held May 7-9th 2008 in Charlotte, NC. Determining the "perfect" plan reflects a subjective perspective based upon a set of pre-determined criteria. Through the eyes of another, the "perfect" plan may include a different set of criteria or it may be based upon a different design.
My "perfect" 401(k) Plan is designed around the objective of maximizing fiduciary risk mitigation. For a copy of the updated article click here.
This article is designed to address many of the Section 404(c) myths that are pervasive in the industry. Section 404(c) requires comprehensive compliance and imposes both transactional and plan related requirements. It is an all or none proposition. For a copy click here.
FRA is the first company to secure a legal opinion on its fiduciary compliance system that diagnosis compliance with the regulations issued under ERISA section 404(c). The letter was issued by Helms Mulliss & Wicker on October 4, 2006 and acknowledges compliance with both the regulatory requirements as well as industry best practices. A copy of the article is available by clicking here.To view a copy of the Legal Opinion click here.
It certainly took Congress more than six days to create ERISA. In fact, its roots go back to the Welfare and Pension Plans Disclosure Act of 1958 (WPPDA) i.e., P.L. 85-386 which failed to establish the necessary protections for participant benefit rights. To view a copy of this article click here.

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