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Fred Reish Monthly

The latest proposals and regulations, and their impact on plan sponsors, participants, and your practice.

Fred Reish outlines the DOL’s latest attempt to expand the definition of who is considered a fiduciary.
Fred Reish looks ahead to 2022 and predicts what new laws and regulations we should expect that could impact retirement plans and your practice.
Fred Reish outlines how the use of dynamic QDIAs can replace the “one-size-fits-all” model with one that focuses on each participant as an individual with unique needs and goals.
The Department of Labor just released its new proposed regulation to expand the use of ESG factors for retirement plans
Fred Reish discusses how by properly managing high-risk issues, plan sponsors can reduce their fiduciary liability insurance costs and, more importantly, reduce their chances of being sued.
As we enter review season for 401(k) plans, most financial professionals focus on the plan’s investment line-up while overlooking other key fiduciary areas. Get prepared with a basic framework that will set you up for a successful meeting.
Properly structured meetings can help plan fiduciaries engage in prudent processes and decision making.
Fred Reish shares tips on how to mitigate risks and avoid problems when drafting 401(k) Investment Policy Statements.
Fred Reish reviews the DOL’s guidance on cybersecurity issues for retirement plans, focusing on how plan sponsors can mitigate these risks as part of their fiduciary responsibilities.
The consolidation among recordkeepers is creating challenges for you and your plan sponsors, impacting everything from investment menus to the daily operation of the plan. Join us to hear Fred Reish discuss: Why plan sponsors should have a formal process to review their plan’s recordkeeper. how to evaluate the new recordkeeper’s costs and services and questions to ask the new recordkeeper
Adviser managed accounts are becoming increasingly popular in 401(k) plans. Fred Reish discusses what plan sponsors need to know about their fiduciary responsibility when providing this benefit to their participants.
The SEC’s Division of Examinations recently issued its Examination Priorities for 2021 and, once again, individual investors will be a focus of the examination activities.
The new rule expanded the interpretation of when an investment professional is a fiduciary and includes an exemption from compensation that is prohibited under ERISA and the Internal Revenue Code.
The merger or acquisition (M&A) of one company by another raises significant issues for their 401(k) plan. Join Fred Reish as he discusses how the type of M&A transaction affects the 401(k) plan, the potential impact to the participant’s account, and the role the financial professional plays depending on the transaction type.
The merger or acquisition (M&A) of one company by another raises significant issues for their 401(k) plan. A knowledgeable financial professional can provide valuable assistance to the plan sponsors and fiduciaries in that process.
When the plan sponsor’s 401(k) recordkeeper is sold, the plan’s fiduciaries have a duty to evaluate the impact this change may have on the plan and its participants.
The myth that ERISA favors passively managed funds over actively managed funds is not correct.
Both numbers refer to sections of ERISA that define fiduciary advice, but their meanings are very different.
Including a self-directed brokerage account (SDBA) window in a 401k plan is a fiduciary act and the plan fiduciaries must prudently select and monitor the SDBA service provider.
Fred Reish discusses Pooled Employer Plan (PEP). These plans will play a significant role in the retirement plan market, and financial professionals who get in on the ground floor could potentially benefit.
The SECURE Act created a new type of plan—a pooled employer plan known as a PEP. Beginning January 1, 2021, these plans will play a significant role in the retirement plan market.
Fred Reish to discuss the ERISA fiduciary ‘safe harbor’ available to plan sponsors that protects them from liability and other timely topics DC advisors will want to listen in on.
Ideas for financial professionals to help plan sponsors fulfill their fiduciary responsibilities and embrace best practices.

Fred Reish

JD, Partner, Faegre Drinker

Fred’s practice focuses on fiduciary and best interest standards of care, prohibited transactions, conflicts of interest, and retirement plans. He has been recognized as one of the “Legends” of the retirement industry by both PLANADVISER magazine and PLANSPONSOR magazine. He has also received recognition awards for: the Institutional Investor Lifetime Achievement Awards, the ASPPA/Morningstar 401(k) Leadership Award, and the IRS District Director’s Award for contributions to the retirement community.



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