Ways to Avoid Disclosure Violations
With the growing number of items that compliance teams must monitor, including both firm and representative disclosures, tracking regulatory compliance disclosures has become even more complicated than it used to be.
Participant Education is King
401K plans are perhaps the most popular retirement savings options for employees & employers in the United States. So it is imperative for plan advisors and sponsors to educate plan participants to avoid litigation and ensure compliance with ERISA, DOL, and other statutory regulations.
SECURE 2.0: Over-Rated or Game-Changing?
The SECURE 2.0 Act was signed by President Biden on December 29, 2022 as part of the Consolidated Appropriations Act (CAA) of 2023.
How you may fail in portfolio risk (what to do about it) (Ep. 17)
Most financial advisors are using portfolio risk measures that are just extensions of a discredited method to measure risk; risks that led to several financial collapses.
Real Estate Dilemma
Not so long ago, we were in the age of “free money” when in 2020 the US Fed plunged interest rates down to 0% to boost economic activity during the pandemic.
Portfolio Reallocations Are on the Way
Financial advisors are increasingly drawn to alternative investment strategies as a means of navigating an economic environment that appears fraught with potential pitfalls.