FIDUCIARY ADVISER COMPLIANCE
What Steps Should Your Firm be Taking to Secure it's Place in the 401(k) Investment Advice Market?
Summary of DOL Field Assistance Bulletin No. 2007-01: Additional Guidance
for RIAs and Broker-Dealers Re PPA
The Pension Protection Act: Potential for Profits and Pitfalls
Fiduciary
Adviser Compensation
A DC Plan Sponsor Guide to PPA
Fiduciary Adviser Myth-Buster
Plan Adviser Giving Investment Advice is a Fiduciary
FIDUCIARY ADVISER TRAINING AND CERTIFICATION
Fiduciary Adviser Network Training Programs
Fiduciary Adviser Certification Process
Fiduciary Adviser Network Annual Audit
Detailed Description of Fiduciary Adviser Training, Certification and Audit Procedures
Qualified Default Investment Alternatives and Automatic Enrollment
Final Word on QDIA
Review of Qualified Default Investment Alternatives
QDIA Proposal
Automatic 401(k) Overview for Employers
Fee Disclosure and Analysis
Letter from the Committee on Education and Labor to DOL
Uncovering Hidden Fees
Comments to EBSA on Advice Fee Disclosure
DOL Report of Plan Fees and Reporting on
Form 5500
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LEGAL & COMPLIANCE COUSELING
Edgerton & Weaver, LLP:
PPA risk analysis, legal and compliance counseling
Fiduciary Adviser Training, Certification and Auditing
PLAN-LEVEL ADVISERS
FI360:
Delivering the knowledge and practical application necessary for plan-level advisers to adhere to a defined fiduciary standard of care
PARTICIPANT-LEVEL ADVISERS
Fiduciary Adviser Network:
Fiduciary adviser training for adviser firms and due diligence and audit services for plan sponsors
Plan Consultants
Dietz and Lynch Financial Strategies Group:
Comprehensive consulting services for plan sponsors and fiduciaries, including benchmarking, fee analysis, vendor searches and on-going investment performance monitoring
401(k) Advisors:
Vendor benchmarking, 404(a)/404(c) guidance and producer services
Horizon Resources:
401k plan cost and investment analysis and plan design review
Financial Risk Analysis
Pension Governance, LLC:
Plan-related investment risk, corporate strategy, valuation and accounting analysis
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