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Jul 31 2014 - 10:15am
Tags: 401(k), Fiduciary, Investment Advisor, §3(21), §3(38)
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Jul 9 2014 - 1:09pm
 I heard it again last week…every time I turn around I hear myths about ERISA retirement plans from plan sponsors, fiduciaries (known and some that have no clue they are ones) and even third party providers. This time it was:
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Tags: 401(k), 403(b), Audit, CPA, DOL, Fiduciary, IRS, Retirement Plans
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Jun 27 2014 - 8:57am
 A question we're asked almost every time we speak is "What is the difference between investment advice under §3(21), a §3(38) and basic investment advice as it pertains to hiring an investment “expert...
Tags: 401(k), Fiduciary, Investment Advisor, §3(21), §3(38)
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May 23 2014 - 1:45pm
 With Monday May 26, 2014 being Memorial Day we, at OTB Stategic Consulting, want to honor the brave men and women...
Tags: Memorial Day, Military
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Apr 30 2014 - 8:32am
 How quickly does a Plan Sponsor need to send the participant contributions to the Trustee? This is actually a pretty simple answer and ERISA regulation. As soon as possible! If that is the case, why do we hear from TPAs, CPAs, Investment Advisors...
Tags: 401k, Compliance, Contributions, Participants
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Apr 22 2014 - 6:11am
 When a plan is examined by regulators or a suit is brought by a participant, how and why providers are chosen are always at the top of list or requested documents. This is traditionally done through a Request for Proposal (RFP) process. As it...
Tags: 401(k), 401k, Compliance, DOL, RFP
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Apr 9 2014 - 9:28am
 If you read the first of this series, you understand the difference between a business decision and a fiduciary decision. And you understand that part of your duties are monitoring all your service providers (no matter what they say). But what if...
Tags: 401k, Breach, Fiduciary
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Apr 2 2014 - 9:54am
 This is a second in a series about the DOL’s March webinar on Fiduciary Responsibility. Last week I wrote about the difference between business and fiduciary decisions. This week it is on Fiduciary Monitoring/Oversight Responsibilities....
Tags: 401(k), Fiduciary, Monitoring
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Mar 26 2014 - 8:15am
Tags: DOL, Fiduciary, Fiduciary Education
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Mar 17 2014 - 11:59am
Tags: 401(k), CFA, DOL, Fiduciary, Fines, Plan Sponsor
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I just finished reading the PlanAdvisor article, "
oday I saw a republished article entitled 
