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Category: Retirement Plans
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Revenue Sharing Decisions

As a result of the significant rise in revenue sharing litigation it behooves plan fiduciaries to confirm and document the prudence and appropriateness of any revenue sharing arrangement.

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Have You Met Your Match?

Just how important is a 401(k) match to your employees? It appears to be top of mind, according to Principal’s 2021 Retirement Security Survey. The study’s results show that the match matters most. Learn more.

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Is Participant Choice a “Get Out of ERISA Court Free Card”?

The question before the court in Hughes v. Northwestern University was the plausibility of a breach of fiduciary duty claim stated by current and former participants in two university retirement plans. SCOTUS ruled that the petitioners in the case, originally dismissed by a district court and upheld by the U.S. Court of Appeals for the Seventh Circuit, did in fact plausibly state their claim. Essentially, the court asserted that the provision of sufficient investment choices to participants does not automatically exculpate fiduciaries from imprudent actions.

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Fee Litigation with an Odd 'Twist'

This article highlights a case whereby the plaintiffs have asserted claims for breach of the fiduciary duties of prudence and failure to monitor fiduciaries. The lawsuit also targets members of the board of directors, as well as other officers of the firm who serve on the retirement plan’s fiduciary investment committee. Learn about the simple way of to offset such liability.

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IRS/DOL Audits Are Increasing Dramatically Are You Ready?

This article speaks of IRS/DOL Audits and provides a laundry list of items for potential review during an audit. Quite a long list – How would your plan fare in being able to check off these items? Learn more.

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Qualified May2022 Article1

The Risk of 401(k) Lawsuits: If It Can Happen to Them…

This article discusses a national accounting and consulting firm who was sued for excess fees. The bottom line: It behooves the prudent fiduciary to explore every avenue to protect themselves whilst acting in the best interests of their participants.

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Department of Labor takes a 180 Degree Turn on ESG Investing

Review a summary of key updates from the Department of Labor as it regards Environmental, Social, and Corporate Governance (ESG) investing.

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Thanks for the Memories: Gratitude and Financial Wellness

How do you help your employees resist the “urge to splurge” and prioritize saving for retirement instead? It certainly seems like a tall order, given that it runs counter to tenets of fundamental human psychology. But what if the answer could be as simple as a little well-timed gratitude? Find out more.

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Loan Interest Rates

What is an appropriate interest rate for plan loans?

Digging a little deeper into the ERISA and IRS requirements that DC plan loans reflect a “reasonable rate of interest”.

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