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Managing Risk: Do's and Don'ts for Your Company's Retirement Plan Committee

Scan the business news and you will likely find an article detailing the latest 401(k) litigation against a company accused of a fiduciary breach. The litigious trend started with corporate behemoths but has been trickling down to small and mid-size plans. Adding to this, a survey found that 43% of company fiduciaries don’t actually think they are fiduciaries.[1] “We see this regularly and stress that plan sponsors need to understand their fiduciary responsibility and all that it entails,” said Roger Levy, AIFA, an Analyst for the Centre for Fiduciary Excellence (CEFEX). CEFEX is an independent certification organization that works closely with industry experts to provide comprehensive asses

Keeping Your Plan Data Safe: 11 Cybersecurity Questions to Ask Your 401(k) Service Provider

Your plan data and private information are valuable, but unfortunately, cybersecurity is a critical but often overlooked aspect of a plan sponsor’s fiduciary responsibility. Given the risk of cyberattacks targeting plan data and retirement savings, it’s important for plan sponsors to be diligent and proactive in making sure they understand what safeguards their third-party 401(k) service providers have in place to protect participants’ privacy and keep their data safe and secure. Here are 11 key questions you should be asking your 401(k) service providers about the cybersecurity of your retirement plan data. Download the Guide >>

10 Steps to Help You Handle a DOL Investigation

Hot breath, fear, sweaty palms - You’ve received a request from the Department of Labor (“DOL”) to provide documents about your retirement plan. You are being investigated. Your first thought may be, how did this happen? Why does the DOL care about my company’s retirement plan? Whether it was a complaint from a plan participant, a referral from another agency, an error on your Form 5500, or simply the luck of the draw, you could spend the next 12 to 24 months becoming familiar with the DOL’s concern over how your plan’s fiduciaries carry out their responsibilities. Before the Request: 5 Tips You Should Know If you knew in advance that your plan was going to be investigated, how would you hav

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