Adviser Marketing: Standing Behind Endorsements
What Does the Adviser Marketing Rule Cover? The SEC recently published new rules on adviser marketing that became effective in May of 2021. The new…
Adviser Marketing: A New Day for Testimonials
Financial Adviser Marketing Breaks out of the Stone Age The arena of adviser marketing has historically been approached conservatively, and with good…
A Best Interest Approach to Asset Allocation
Asset allocation has been practiced in an arbitrary way since the dawn of the Modern Era[1]. While thought to be beneficial, great improvements to…
Are You Sure You are Acting in Your Client’s Best Interest?
Financial Professionals have a difficult task of complying with regulatory requirements while also doing their best to act in their client’s best…
Proposed ESG Regulations Pave the Way for ESG Investing in ERISA Plans
The DoL’s proposed rule, “Prudence and Loyalty in Selecting Plan Investments and Exercising Shareholder Rights” (“ESG Proposal”) released on October…
4 Quick Observations on the DOL’s Proposed ESG Rule
Today, the Department of Labor published its proposed rules on ESG investments and proxy voting within ERISA plans. The proposed rule is entitled, “…
Insurer Provides Best Practices to Avoid ERISA Litigation
With the extreme rise in ERISA lawsuits has also come a rise in insurance premiums. One insurer shared their tips for plan sponsors to mitigate the…
Factors Influencing Future Returns
It is a natural reaction for institutions and individuals to want to find out how much money their investments have earned or lost. This holds the…
Why Returns can’t be Evidence of a Fiduciary Breach
Background It is a natural reaction for institutions and individuals to want to find out how much money their investments have earned or lost. This…