Posts Tagged ‘Fiduciary’

Upcoming 401k Compliance Calendar

Wednesday, January 28th, 2015

By Colin Clark, Retirement Plan Specialist Consult your plan’s counsel or tax advisor regarding these and other items that may apply to your plan. APRIL If a plan audit is required in connection with the Form 5500, make arrangements with an independent accountant/auditor for the audit to be completed...

Read More


What is the Difference Between a 3(21) and a 3(38) Fiduciary?

Tuesday, January 7th, 2014

By Colin Clark, Retirement Plan Specialist A retirement plan adviser can serve in either a 3(21) or 3(38) fiduciary capacity, and in some cases, both capacities. The needs and desires of the plan sponsor typically dictate the specific arrangement, which is predicated upon the subject of risk mitigation versus...

Read More


Do We Really Need an Advisor for Our 401(k) Plan?

Tuesday, November 5th, 2013

By Colin Clark, Retirement Plan Specialist A recent American Benefits Council study1 demonstrated  that with over 650,000 Defined Contribution Plans in force in America covering over 88 million Americans, the 401(k) is by far the most popular and predominant retirement savings vehicle in this country.   Alas a myriad of...

Read More