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326 Matching News Items |
| 1. |
FredReish.com
Dec. 11, 2025
"The SEC Division of Examinations has issued its 2026 fiscal year Examination Priorities. The Priorities include a focus on older investors, investing for retirement and rollovers. This article discusses those priorities."
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| 2. |
FredReish.com
Dec. 1, 2025
"While not stated in the question, ... the DOL may have a concern about the use of investment advisers who are affiliated with the PPP and the ongoing duty of the PPP to monitor the 3(38). There is likely also be a concern where the 3(38) then selects proprietary investments for the PEP."
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| 3. |
FredReish.com
Nov. 17, 2025
"[It] would not be a burden if the DOL required that PEPs offer a lineup that satisfied the 404(c) condition of a broad range of investments that would permit participants to construct portfolios that reasonably reflected their risk and return profiles.... Most commentators responded that the DOL should not establish a 'range of total fees'. There are several difficulties with that."
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| 4. |
FredReish.com
Nov. 10, 2025
"This article begins a series about the part of the guidance that was an RFI, where the DOL is soliciting information that would be helpful for future guidance."
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| 5. |
FredReish.com
Oct. 27, 2025
"[T]he top issue is the monitoring of the PPP. Does it have the knowledge, experience and skill to properly manage a PEP? Is the PPP doing a good job of managing the PEP? Are there problems? Are there complaints? Is the PPP a stable business organization that will be able to manage the plan many years into the future? Does the PPP have the financial wherewithal to stand behind any claims that may be filed against the PEP?"
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| 6. |
FredReish.com
Oct. 21, 2025
"[W]here the PPP appoints the investment manager, the PPP is the fiduciary responsible for the selection and monitoring of the 3(38) investment manager. However, the law says that adopting employers are responsible determining if the 'named fiduciaries' are prudent choices for its participating employees.... That raises the question of the scope of the fiduciary duty of adopting employers related to the investment manager -- since the adopting employers cannot remove and replace an investment manager selected by the PPP."
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| 7. |
FredReish.com
Oct. 14, 2025
"The [pooled plan provider (PPP)] is the primary, and ultimate, fiduciary for running the PEP.... [T]he PPP needs to be qualified and that takes years of industry experience. In addition, employers should consider doing a litigation search about the PPP. A history of lawsuits can be a bad sign and should be investigated. "
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| 8. |
FredReish.com
Sept. 29, 2025
"The DOL has issued guidance about PEPs -- pooled employer plans -- that ... includes some interesting information about the development of PEPs.... It is clear that PEPs are appealing to some employers. ... [T]he key will be whether a PEP has distribution and as a part of that, a clear understanding of the services and compensation of the advisors who recommend the PEPs."
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| 9. |
FredReish.com
Sept. 22, 2025
"[T]he Information Letter only discussed the inclusion of private equity in asset allocation funds in 401(k) plans. The DOL’s letter explicitly said that it was not talking about standalone private equity investments. Second, the conclusion said, in effect, that ERISA does not prohibit any investment; instead, it places the burden on fiduciaries to determine if they are prudent for retirement investing by the covered workers."
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| 10. |
FredReish.com
Sept. 15, 2025
"This article focuses on the DOL's guidance in a 2020 Information Letter ... on the inclusion of private equity in 401(k) plans. The discussion in that Information Letter ... is foundational for any guidance that will be issued by the DOL in response to [Executive Order 14330]."
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