Fred Reish

Partner

Los Angeles

(310) 203-4047 phone
(310) 229-1285 fax

C. Frederick Reish is a partner in the firm's Employee Benefits & Executive Compensation Practice Group, Chair of the Financial Services ERISA Team and Chair of the Retirement Income Team.  His practice focuses on fiduciary issues, prohibited transactions, tax-qualification and retirement income. 

Fred:

  • Works with both private and public sector entities and their plans and fiduciaries;
  • Represents plans, employers and fiduciaries before the governing agencies (e.g., the IRS and the DOL);
  • Consults with banks, trust companies, insurance companies and mutual fund management companies on 401(k) investment products and issues related to plan investments and retirement income; and
  • Represents broker-dealers and registered investment advisers on issues related to fiduciary status and compliance, prohibited transactions and internal procedures.

Fred's experience includes advising insurance companies and investment managers of the development of products and services that are consistent with ERISA's fiduciary standards and prohibited transaction restrictions, including retirement income investments and guarantees.  Fred is also a consultant member of the Institutional Retirement Income Council (IRIC), which focuses on retirement income issues and products.

Fred has received a number of awards for his contributions to benefits education, communication and service, including:

  • Selection by PLANADVISER magazine as one of the 5 “Legends” of the retirement industry and with retirement advisers.
  • The American Society of Pension Professionals & Actuaries (ASPPA)/Morningstar 401(k) Leadership Award for directly and positively influencing the ability of Americans to build successful retirements.
  • Selection by PLANSPONSOR magazine as one of the 15 Legends in the development of retirement plans.
  • Recognition by 401kWire as the third most influential person in the defined contribution industry for 2013 in the magazine’s annual “100 Most Influential People in Defined Contribution” feature, where he is the highest ranking private practice lawyer on the list.  Fred has ranked among the top ten influencers every year the magazine has published the list, and was named the most influential person in the industry in 2007.
  • Recongition by RIABiz as one of 2012's most influential individuals in the 401(k) industry affecting RIAs.
  • Recipient of the IRS Director’s Award and the IRS Commissioner’s Award for his contributions to employee benefits education.
  • Received Lifetime Achievement Awards from PLANSPONSOR magazine and from Institutional Investor for his contributions to the benefits community.
  • Received the Eidson Founder’s Award from ASPPA for his significant contributions to that organization and to the benefits community.
  • Recognition as one of “The Best Lawyers in America.”
  • Received the Alumni Service Award from Arizona State University.

On behalf of ASPPA, he has co-authored amicus curiae briefs with the Supreme Court of the United States in the case of Patterson v. Shumate and with the Tax Court in the case of Citrus Valley Estates v. Commissioner of Internal Revenue.

Fred has written four books and over 350 articles on fiduciary responsibility, prohibited transactions, IRS and DOL audits, and pension plan disputes.  He authors a monthly column on 401(k) fiduciary responsibility for PLANSPONSOR magazine.

Fred is frequently quoted by both professional and public publications, including The Wall Street Journal, Fortune, Forbes, Inc., CFO Magazine, New York Times, Washington Post, Los Angeles Times, USA Today, Institutional Investor, PLANSPONSOR, and Pensions & Investments

Fred is a nationally known speaker on fiduciary responsibility, technical compliance matters and litigation issues.  He has spoken at the annual conferences of the American Bar Association, the American Society of Pension Professionals and Actuaries, the Western Pension and Benefits Conference, the Enrolled Actuaries Conference, the International Foundation of Employee Benefit Plans, and the National Institute of Pension Administrators.

Fred received a J.D. from the University of Arizona James E. Rogers College of Law and B.S. from Arizona State University.

Publications

9/11/2014
California HR Newsletter
Contingent Workers . . . from an ERISA Perspective
8/1/2014
PlanAdviser Magazine
The DOL’s Proposed 408(b)(2) Guide
7/1/2014
J.P. Morgan White Paper
Using Re-enrollment to Improve Participant Investing and Provide Fiduciary Protections
6/1/2014
PlanAdviser Magazine
Evaluating Target-Date Funds
6/1/2014
Employee Benefit Plan Review
DOL Proposed Regulation on 408(b)(2) 'Guide': Impact on Service Providers
6/1/2014
PLANSPONSOR
Why Are There Fiduciaries?
5/15/2014
PLANSPONSOR
What’s Next? Defined Contribution Plan Predictions
5/1/2014
J.P. Morgan White Paper
Analysis of the J.P. Morgan Target Date Compass
4/28/2014
Client Bulletin
Lifetime Income: Participant Needs, Retiree Risks and Retirement Solutions
4/14/2014
Client Alert
FINRA’S REMINDER ABOUT ROLLOVERS: NEWS TO MANY
4/1/2014
PlanAdviser Magazine
Asset Allocation Models
4/1/2014
Plan Consultant Magazine
Capturing Plan Rollovers
3/20/2014
Client Alert
DOL Proposed Regulation on 408(b)(2) “Guide” – Impact on Service Providers
3/13/2014
Drinker Biddle White Paper
Lincoln Secured Retirement Income(SM) Solution: Fiduciary Process in Evaluating In-Plan Guarantees
3/5/2014
PLANSPONSOR
Plan Committee Agendas III
2/20/2014
PlanAdviser
Distributions and Rollovers
2/1/2014
PLANSPONSOR
Plan Committee Agendas II
1/1/2014
PLANSPONSOR
Plan Committee Agendas
12/1/2013
PLANSPONSOR
Your Children’s Retirement
11/1/2013
PLANSPONSOR
Things I Wonder About
10/31/2013
Client Alert
Retirement Income Team Newsletter
10/1/2013
Pioneer Investments and fi360®
Custom Target Date Funds – Assessing the Best Fit
10/1/2013
PLANSPONSOR
Fair Revenue Sharing, Part 2
10/1/2013
ABA Trust Letter: A Regulatory & Legislative Advisory for Trust Professionals
The Yale Professor 401(k) Fee Study: Practical Considerations for Bank Trustees
9/1/2013
PLANSPONSOR
Fair Revenue Sharing
9/1/2013
The Next Evolution in Defined Contribution Retirement Plan Design
Selecting Lifetime Income Solutions: Practical Fiduciary Considerations
8/14/2013
PLANSPONSOR
Participant Investing
7/29/2013
Drinker Biddle Memorandum
Drinker Biddle Response to Controversial Yale Letters
7/23/2013
Client Bulletin
The “Yale Professor Letters”: What Sponsors Need to Know (and Do) Now
7/17/2013
PLANSPONSOR
Plan Committees Beware
6/12/2013
J.P. Morgan White Paper
Fiduciary implications: Using re-enrollment to improve target date fund adoption
6/4/2013
Client Bulletin: GAO Report on Rollovers
IRA Rollover Services and Responsibility of Plan Sponsors
6/1/2013
PLANSPONSOR
Is 70 the New 65?
6/1/2013
ASPPA Plan Consultant
The Practical Responsibility of Advisors for Participant Disclosures
5/24/2013
NAPA Net
Helping Your Plan Sponsor Clients Avoid Prohibited Transactions
5/13/2013
Client Alert
Retirement Income Team Newsletter
5/1/2013
PLANSPONSOR
Responsible Parties: How to ensure fee disclosures were made
4/15/2013
NAPA April 2013 Newsletter
ERISA 408(b)(2) After Effects: Form 5500 Filings
4/3/2013
April 2013 Edition
Plan Sponsor Newsletter
4/1/2013
ASPPA Plan Consultant
Form 5500 Filings: Trips and Traps Under Section 408(b)(2)
4/1/2013
Money Managers Compliance Guide
Fiduciary Advice and 12b-1 Fees
3/13/2013
Drinker Biddle White Paper
Lincoln Secured Retirement Income(SM) Solution: Addressing Participant Retirement Income Risks
3/1/2013
PLANSPONSOR
Fully Formed: Prohibited transactions must be reported on Form 5500
2/26/2013
Drinker Biddle White Paper
The Benefits of Mandatory Distributions
2/25/2013
Client Newsletter
ERISA Newsletter for Retirement Plan Service Providers
2/14/2013
Client Bulletin
Providing Guaranteed Lifetime Income Benefits: Managing Fiduciary Responsibility
2/1/2013
PLANSPONSOR
Prudent Process: Under 408(b)(2), sponsors have a duty to evaluate advisers
1/31/2013
Client Alert
Retirement Income Team Newsletter
1/23/2013
Plan Consultant
Participant Disclosure Regulations: Challenges for Recordkeepers
1/14/2013
PLANSPONSOR
Duty Bound: Required reading: 408(b)(2) prohibited transaction rules
1/9/2013
Client Bulletin
Individual Brokerage Accounts: What Plan Sponsors Must Disclose to Participants
12/1/2012
PLANSPONSOR
Devil in the Details: IPSs need specific criteria when it comes to TDFs
11/12/2012
TD Ameritrade White Paper
Fiduciary Considerations in Offering a Brokerage Window
11/1/2012
Employee Benefits & Executive Compensation Client Bulletin
ERISA Newsletter for Retirement Plan Service Providers
11/1/2012
PLANSPONSOR
The Not-So-Fine Print: Fiduciaries have a duty to understand provider agreements
10/29/2012
Client Alert
Retirement Income Team Newsletter
10/12/2012
PLANSPONSOR
Age of Reason: How to evaluate adviser compensation under 408(b)(2)
10/3/2012
Journal of Pension Benefits
ERISA Compliance Issues for Plan Providers: The DOL Consultant/Adviser Project
10/3/2012
Journal of Pension Benefits
“Open” Multiple Employer Plans After Advisory Opinion 2012-04A: An Assessment
9/10/2012
PLANSPONSOR
Crystal Ball Part 2: Help sponsors manage 401(k) plan risk
8/13/2012
PLANSPONSOR
Crystal Ball: What litigation might be coming to 401(k) plan sponsor
7/31/2012
Employee Benefits & Executive Compensation Client Bulletin
ERISA Newsletter for Retirement Service Providers
7/18/2012
PLANSPONSOR
Recipe for Success: Lifetime retirement income is the key ingredient for an effective 401(k) plan
7/11/2012
Plan Consultant
Full Disclosure: The Impact of the Final 408(b)(2) Regulation on TPAs
7/10/2012
Employee Benefits & Executive Compensation Client Bulletin
ERISA Service Provider Disclosures: What Plan Sponsors Need to Do Now
7/2/2012
PLANSPONSOR
Many Happy Returns: Through QDIA's, it is win-win for sponsors and participants
6/15/2012
PLANSPONSOR
Getting Older:The graying of the American work force
6/1/2012
John Hancock Mutual Funds
Re-Enrolling: Doing Well While Doing Good
5/29/2012
Client Bulletin
The Final 408(b)(2) Regulation: Impact on Broker-Dealers
5/10/2012
Investment Management Bulletin
The Final 408(b)(2) Regulation: Impact on Investment Managers
5/1/2012
White Paper
Lifetime Income in Defined Contribution Plans: A Fiduciary Approach
5/1/2012
PIMCO DC Dialogue
A Good Sense of Value
4/1/2012
Institutional Retirement Income Council
The Problem with Spending Too Fast: Retirement Savings Withdrawal Rates
3/15/2012
PLANSPONSOR
Complexity of Design: Targeting Target Date Funds
2/14/2012
Client Bulletin
The Final 408(b)(2) Regulation: Impact on RIAs
2/3/2012
PLANSPONSOR
A Changing World: Reasonable Compensation -- Brought to Light by 208(b)(2)
2/3/2012
Employee Benefits & Executive Compensation Alert
Finally the Final … 408(b)(2) Regulation
2/1/2012
Workforce Management
The Rise & Fall of Employer-Sponsored Pensions
1/24/2012
Client Alert
Capturing Rollovers
1/15/2012
PLANSPONSOR
Careful Endorsements
1/1/2012
Sparks Journal
408(b)(2) and the Rise of Benchmarking
12/19/2011
Investment News
Labor's Tenacious Rule Maker Isn't Done With 'Fiduciary' Fight
12/14/2011
Daily Journal
Minimizing Risks for Charity Board Members
12/8/2011
Employee Benefits & Executive Compensation Alert
Fiduciary Investment Advice for Participants
12/1/2011
PLANSPONSOR
Burden Sum
11/22/2011
Advisor One
7 Areas of ‘Relief’ for Advisors in DOL’s Re-Proposed Fiduciary Rule
11/16/2011
Forbes
Generation X: Time to Reboot
11/1/2011
PLANSPONSOR

'Class' Actions: Class-Action Litigation Concerning Expenses and Revenue-Sharing
10/30/2011
PLANSPONSOR
’Safe’ Hows: The Fiduciary Safe Harbor for Investment Managers
10/25/2011
Reuters
COMPLY: Labor Probe Seen Clarifying Fiduciary Rule
10/20/2011
Investment Management Insights
DOL Investigations: Broker-Dealers and RIAs as Targets
10/5/2011
Employee Benefits & Executive Compensation Bulletin
Service Provider Disclosures: The Impact on Plan Sponsors
10/3/2011
Journal of Pension Benefits
Fiduciary Considerations for Insured Retirement Income Products: Guaranteed Withdrawal Benefits
9/30/2011
401k Safe
Open Multiple Employer Plans: Tax and ERISA Considerations
9/1/2011
Plansponsor.com
The Risk of Growing Old: Protection against losses is more important during retirement
8/2/2011
J.P. Morgan Asset Management
Fiduciary implications: Using re-renrollment to improve target date fund adoption
8/2/2011
The Spark Journal
The Proposed Regulation on Fiduciary Advice and Its Impact on Record Keepers and Broker-Dealers
8/2/2011
Investment Management News
8/1/2011
Workforce Management Benefits
Workers, Employers Fret About Life After Retirement — 25 Years Later
8/1/2011
Plansponsor.com
Living Room?: The problem with living too long
8/1/2011
Employee Benefit News
New DOL Regulations Raise the Bar for Plan Fiduciaries
8/1/2011
401(k) Advisor
Getting Ready for the 408(b)(2) Regs?
7/20/2011
Financial Services ERISA Alert
Fee Disclosure Compliance Delayed
7/8/2011
The New York Times
Seeking Investment Flexibility In a 401(k)
7/1/2011
Plansponsor.com
Being Reasonable About Plan Expenses
6/20/2011
Barron's
Best Annuities
6/6/2011
Investment Management Alert
The DOL’s 408(b)(2) Regulation: Impact on Investment Managers
6/1/2011
Drinker Biddle
The Prudence Standard: Affiliated Products and Services
6/1/2011
Plansponsor.com
Targeting Date Funds: What you need to know about TDFs
5/4/2011
Employee Benefits & Executive Compensation Bulletin
The Problem With Living Too Long
5/1/2011
Plansponsor.com
QDIA Demographics: The approach that plan sponsors should take in designing the investment strategy for pooled defined contribution plans
3/14/2011
Bulletin
401(k) Account Balances as Monthly Retirement Income
3/1/2011
Plansponsor.com
Retirement Requirement: Does your company sponsor a 401(k) savings plan or a 401(k) retirement plan?
2/24/2011
Bulletin
Fiduciary Considerations for Insured Retirement Income Products: Focus on Guaranteed Withdrawal Benefits
2/1/2011
Bulletin
The Impact of 408(b)(2) on Service Providers
2/1/2011
Plansponsor.com
Part of the Parcel: Benchmarking as a part of a prudent process
2/1/2011
ERISA Controversy Report
Fiduciary Status for Referrals
1/1/2011
Plansponsor.com
Running the Fund: Safe Passage
1/1/2011
Plansponsor.com
Class-ifying Mutual Funds: the duty to understand mutual fund costs
1/1/2011
Bulletin
The New Form ADV Part 2: Convergence of ERISA and Securities Law Disclosure
12/1/2010
Plansponsor.com
Growth Is Good and Less Expensive: If you don't ask, you won't know
12/1/2010
Plansponsor.com
Cover: Excessive Forces
11/1/2010
Plansponsor.com
Roth Is Wrong--for Some People: Part II
10/1/2010
Plan Sponsor
Too Safe Is Too Bad: Safe Investments May Not Be Safe...For Fiduciaries
9/1/2010
Plan Sponsor
Theories and Realities: Target-Date Funds and Modern Portfolio Theory
9/1/2010
Employee Benefits & Executive Compensation Alert
The DOL’s 408(b)(2) Regulation: Impact on Broker-Dealers and Registered Representatives
8/1/2010
The DOL’s 408(B)(2) Regulation: Impact on Registered Investment Advisers (RIAs)
8/1/2010
Plansponsor.com
Roth Is Wrong--for Some People
7/1/2010
Plansponsor.com
Beware of Gifts: Prohibited transactions and conflicts of interest
6/1/2010
Plansponsor.com
The 401(k) Destination: If you don't know where you are going...
5/1/2010
Plansponsor.com
Past, Present, and Future: Monitoring 401(k) investments
4/1/2010
The Report to Plan Sponsor
Disclosure of Costs to Participants
3/1/2010
Plansponsor.com
The Target-Date Duty: Time for a new look at TDFs
2/1/2010
Plansponsor.com
Analyze This: Cost benefit analysis requires a long view
1/1/2010
Plansponsor.com
Document Ed: Customize your plan document
12/1/2009
Plansponsor.com
Removal Spot: The duty to remove investments
12/1/2009
Bulletin
Brokers As Fiduciaries: The Reality and the Issues
11/1/2009
Plansponsor.com
Question Marks: Four questions for fiduciaries about TDFs
10/1/2009
Plansponsor.com
Directing the Plan: Directors as fiduciaries
9/1/2009
Plansponsor.com
Reasonable Approaches: Are your fees reasonable?
8/1/2009
Plan Sponsor magazine
Sharing Fees
7/1/2009
Plan Sponsor magazine
Targeted Flavors
7/1/2009
Bulletin
Fiduciary Status for Broker-Dealers
12/1/2008
Bulletin
Department of Labor Focuses on Revenue Practices: What Are Your Fiduciary Duties Regarding Revenue-Sharing Arrangements?
12/1/2008
Plan Sponsor
New Year’s Resolutions
11/1/2008
Plan Sponsor
Sustain Abilities: Adapt and Modify
10/1/2008
Plan Sponsor
Revenue Sharing: What Is It
10/1/2008
Bulletin
Disclosure of Service Provider Compensation: Final 408(b)(2) Regulation Will be Issued Soon
9/1/2008
Plan Sponsor
The Cost of Knowledge
7/1/2008
The Report to Plan Sponsor
Responding to LaRue
7/1/2008
The Report to Plan Sponsor
Re-Enrolling: Doing Well While Doing Good
7/1/2008
The Report to Plan Sponsor
Future DOL Guidance
7/1/2008
Plan Sponsor
The Future Is Here
7/1/2008
The Report to Plan Sponsor
What 408(b)(2) Means to Plan Sponsors
6/1/2008
Plan Sponsor
For Better or Worse?
6/1/2008
Bulletin
Navigating the QDIA Notice Requirements
5/1/2008
Plan Sponsor
Corporate Governance: ERISA-Style
5/1/2008
The Adviser Report
Real World Issues for Advisers, 408(b)(2), Agreements and Fiduciary Status
5/1/2008
The Adviser Report
The Impact of 408(b)(2) on Advisers
5/1/2008
The Adviser Report
What about LaRue?
3/1/2008
The Fiduciary Practice Report
The Universal Fiduciary
3/1/2008
Plan Sponsor
Pickup Lines
2/1/2008
The Report to Plan Sponsor
Academic Studies On Participant Behavior
2/1/2008
The Report to Plan Sponsor
401(k) Expense Recapture
2/1/2008
Bulletin
How You Are Paying What You Don’t Know: A Primer on Indirect Mutual Fund Payments
2/1/2008
Plan Sponsor
First Things First
2/1/2008
The Report to Plan Sponsor
Design Issues for Automatically Enrolled Plans
1/1/2008
Plan Sponsor
The Truth
12/1/2007
The Adviser Report
An Interesting Question: Investment Managers and IRAs
6/1/2007
Plan Sponsor
Average Bearing
6/1/2007
The Report to Plan Sponsor
Fiduciary Responsibility for 401(k) Fees and Expenses
6/1/2007
Report To Plan Sponsors
DOL Penalties and Blackout Notices
12/1/2006
Plan Sponsor
The Duty To Get Help
11/1/2006
Plan Sponsor
The Right Focus
3/1/2006
The Report to Plan Sponsor
Asset Allocation and Information Overload
12/1/2005
Plan Sponsor
Education Precedents
11/1/2005
Government & Tax Exempt Plans Report
Universal Prudence
1/1/2005
Journal of Pension Benefits
Fiduciary Rules Applicable to (b) Plans
1/1/2005
Plan Sponsor
New Year's Resolutions
12/1/2004
The ERISA Report for Plan Sponsors
Classification of Workers
12/1/2004
The ERISA Report for Plan Sponsors
Form SSA and Missing Benefits
12/1/2003
ERISA Controversy Report
Here Comes the Judge: The First Enron Decision Has Arrived
12/1/2003
Plan Sponsor
Self-Dealing?
2/1/2002
Journal of Pension Benefits (Volume 9, Number 2, Winter 2002)
Does ERISA Require An Investment Policy Statement?

Speaking Engagements

5/29/2014
Drinker Biddle Webinar
Why Retirement Income is a Critical Issue for 401(k) and 403(b) Plans
12/18/2013
Drinker Biddle Webinar
Surviving DOL Investigations of Plans: Part II
11/12/2013
ERISA Symposium for Insurance Industry — Chicago, IL
Breakout Session: Revenue Sharing for Recordkeepers
11/6/2013
ASPPA Webcast
Section 408(b)(2) and the Challenge of Balancing Cost and Value of Retirement Plan Services
11/5/2013
FSI Compliance Council and the FSI Ops/Tech Council
DOL Activity: Proposed Regulations, Investigations and Evaluations of Broker-Dealers
10/29/2013
ASPPA Annual Conference — National Harbor, MD
Workshop 56 - Section 408(b)(2) and the Challenge of Balancing Cost and Value of Retirement Plan Services
10/1/2013
DOL Investigations of Plan Sponsors Webinar
In Harm’s Way: DOL Investigations of Plans
7/31/2013
Drinker Biddle Webinar - Surviving DOL Service Provider Investigations, Part II
DOL Investigations of Service Providers: Broker-Dealers, RIAs, and Recordkeepers
6/26/2013
Drinker Biddle Webinar - Surviving DOL Service Provider Investigations
DOL Investigations of Service Providers: Broker-Dealers, RIAs, and Recordkeepers
6/19/2013
IRI 2013 Government, Legal & Regulatory Conference
Retirement Plan Summit
6/11/2013
Insurance Symposium — Chicago, IL
Dodging the ERISA Bullet—Next Year’s Claims, Last Year’s Defenses
4/25/2013
42nd Annual Retirement and Benefits Management Seminar
Hot Issues for Retirement Plan Sponsors and Providers
11/1/2012
Financial Services Institute
ERISA Disclosures: Questions Broker-Dealers Are Asking
10/11/2012
Drinker Biddle Webcast
What Plan Committees Must Do with 408(b)(2) Disclosures
9/25/2012
Drinker Biddle Event
Change Happens: Plan Sponsor Update
8/16/2012
Drinker Biddle Webinar
Inside the Beltway
6/26/2012
IRI 2012 Government, Legal & Regulatory Conference
SEC and DOL Fiduciary Initiatives
5/17/2012
ASPPA Webinar
The Evolution of Target Date Funds
4/25/2012
Fi360 Annual Conference
Fiduciary Responsibility
3/14/2012
Spark Institute
Final 408(b)(2) Rules - Unexpected and Under-covered Issues
10/17/2011
Center for Due Diligence 2011 Advisor Conference
"A Model Investment Advisory Agreement for the New ERA" and "Advisory Fees & Multiple Hats in the Same Plan"
8/10/2011
MassMutual Retirement Services
Plan Health and Retirement Readiness
8/2/2011
J.P. Morgan Asset Management Re-enrollment Strategies

Principal Financial Group Webinar
Legal Analysis and Considerations for 3(16) Administrators
9/11/2014
California HR Newsletter
Contingent Workers . . . from an ERISA Perspective
8/1/2014
PlanAdviser Magazine
The DOL’s Proposed 408(b)(2) Guide
7/1/2014
J.P. Morgan White Paper
Using Re-enrollment to Improve Participant Investing and Provide Fiduciary Protections
6/1/2014
PlanAdviser Magazine
Evaluating Target-Date Funds
6/1/2014
Employee Benefit Plan Review
DOL Proposed Regulation on 408(b)(2) 'Guide': Impact on Service Providers
6/1/2014
PLANSPONSOR
Why Are There Fiduciaries?
5/15/2014
PLANSPONSOR
What’s Next? Defined Contribution Plan Predictions
5/1/2014
J.P. Morgan White Paper
Analysis of the J.P. Morgan Target Date Compass
4/28/2014
Client Bulletin
Lifetime Income: Participant Needs, Retiree Risks and Retirement Solutions
4/14/2014
Client Alert
FINRA’S REMINDER ABOUT ROLLOVERS: NEWS TO MANY
4/1/2014
PlanAdviser Magazine
Asset Allocation Models
4/1/2014
Plan Consultant Magazine
Capturing Plan Rollovers
3/20/2014
Client Alert
DOL Proposed Regulation on 408(b)(2) “Guide” – Impact on Service Providers
3/13/2014
Drinker Biddle White Paper
Lincoln Secured Retirement Income(SM) Solution: Fiduciary Process in Evaluating In-Plan Guarantees
3/5/2014
PLANSPONSOR
Plan Committee Agendas III
2/20/2014
PlanAdviser
Distributions and Rollovers
2/1/2014
PLANSPONSOR
Plan Committee Agendas II
1/1/2014
PLANSPONSOR
Plan Committee Agendas
12/1/2013
PLANSPONSOR
Your Children’s Retirement
11/1/2013
PLANSPONSOR
Things I Wonder About
10/31/2013
Client Alert
Retirement Income Team Newsletter
10/1/2013
Pioneer Investments and fi360®
Custom Target Date Funds – Assessing the Best Fit
10/1/2013
PLANSPONSOR
Fair Revenue Sharing, Part 2
10/1/2013
ABA Trust Letter: A Regulatory & Legislative Advisory for Trust Professionals
The Yale Professor 401(k) Fee Study: Practical Considerations for Bank Trustees
9/1/2013
PLANSPONSOR
Fair Revenue Sharing
9/1/2013
The Next Evolution in Defined Contribution Retirement Plan Design
Selecting Lifetime Income Solutions: Practical Fiduciary Considerations
8/14/2013
PLANSPONSOR
Participant Investing
7/29/2013
Drinker Biddle Memorandum
Drinker Biddle Response to Controversial Yale Letters
7/23/2013
Client Bulletin
The “Yale Professor Letters”: What Sponsors Need to Know (and Do) Now
7/17/2013
PLANSPONSOR
Plan Committees Beware
6/12/2013
J.P. Morgan White Paper
Fiduciary implications: Using re-enrollment to improve target date fund adoption
6/4/2013
Client Bulletin: GAO Report on Rollovers
IRA Rollover Services and Responsibility of Plan Sponsors
6/1/2013
PLANSPONSOR
Is 70 the New 65?
6/1/2013
ASPPA Plan Consultant
The Practical Responsibility of Advisors for Participant Disclosures
5/24/2013
NAPA Net
Helping Your Plan Sponsor Clients Avoid Prohibited Transactions
5/13/2013
Client Alert
Retirement Income Team Newsletter
5/1/2013
PLANSPONSOR
Responsible Parties: How to ensure fee disclosures were made
4/15/2013
NAPA April 2013 Newsletter
ERISA 408(b)(2) After Effects: Form 5500 Filings
4/3/2013
April 2013 Edition
Plan Sponsor Newsletter
4/1/2013
ASPPA Plan Consultant
Form 5500 Filings: Trips and Traps Under Section 408(b)(2)
4/1/2013
Money Managers Compliance Guide
Fiduciary Advice and 12b-1 Fees
3/13/2013
Drinker Biddle White Paper
Lincoln Secured Retirement Income(SM) Solution: Addressing Participant Retirement Income Risks
3/1/2013
PLANSPONSOR
Fully Formed: Prohibited transactions must be reported on Form 5500
2/26/2013
Drinker Biddle White Paper
The Benefits of Mandatory Distributions
2/25/2013
Client Newsletter
ERISA Newsletter for Retirement Plan Service Providers
2/14/2013
Client Bulletin
Providing Guaranteed Lifetime Income Benefits: Managing Fiduciary Responsibility
2/1/2013
PLANSPONSOR
Prudent Process: Under 408(b)(2), sponsors have a duty to evaluate advisers
1/31/2013
Client Alert
Retirement Income Team Newsletter
1/23/2013
Plan Consultant
Participant Disclosure Regulations: Challenges for Recordkeepers
1/14/2013
PLANSPONSOR
Duty Bound: Required reading: 408(b)(2) prohibited transaction rules
1/9/2013
Client Bulletin
Individual Brokerage Accounts: What Plan Sponsors Must Disclose to Participants
12/1/2012
PLANSPONSOR
Devil in the Details: IPSs need specific criteria when it comes to TDFs
11/12/2012
TD Ameritrade White Paper
Fiduciary Considerations in Offering a Brokerage Window
11/1/2012
Employee Benefits & Executive Compensation Client Bulletin
ERISA Newsletter for Retirement Plan Service Providers
11/1/2012
PLANSPONSOR
The Not-So-Fine Print: Fiduciaries have a duty to understand provider agreements
10/29/2012
Client Alert
Retirement Income Team Newsletter
10/12/2012
PLANSPONSOR
Age of Reason: How to evaluate adviser compensation under 408(b)(2)
10/3/2012
Journal of Pension Benefits
ERISA Compliance Issues for Plan Providers: The DOL Consultant/Adviser Project
10/3/2012
Journal of Pension Benefits
“Open” Multiple Employer Plans After Advisory Opinion 2012-04A: An Assessment
9/10/2012
PLANSPONSOR
Crystal Ball Part 2: Help sponsors manage 401(k) plan risk
8/13/2012
PLANSPONSOR
Crystal Ball: What litigation might be coming to 401(k) plan sponsor
7/31/2012
Employee Benefits & Executive Compensation Client Bulletin
ERISA Newsletter for Retirement Service Providers
7/18/2012
PLANSPONSOR
Recipe for Success: Lifetime retirement income is the key ingredient for an effective 401(k) plan
7/11/2012
Plan Consultant
Full Disclosure: The Impact of the Final 408(b)(2) Regulation on TPAs
7/10/2012
Employee Benefits & Executive Compensation Client Bulletin
ERISA Service Provider Disclosures: What Plan Sponsors Need to Do Now
7/2/2012
PLANSPONSOR
Many Happy Returns: Through QDIA's, it is win-win for sponsors and participants
6/15/2012
PLANSPONSOR
Getting Older:The graying of the American work force
6/1/2012
John Hancock Mutual Funds
Re-Enrolling: Doing Well While Doing Good
5/29/2012
Client Bulletin
The Final 408(b)(2) Regulation: Impact on Broker-Dealers
5/10/2012
Investment Management Bulletin
The Final 408(b)(2) Regulation: Impact on Investment Managers
5/1/2012
White Paper
Lifetime Income in Defined Contribution Plans: A Fiduciary Approach
5/1/2012
PIMCO DC Dialogue
A Good Sense of Value
4/1/2012
Institutional Retirement Income Council
The Problem with Spending Too Fast: Retirement Savings Withdrawal Rates
3/15/2012
PLANSPONSOR
Complexity of Design: Targeting Target Date Funds
2/14/2012
Client Bulletin
The Final 408(b)(2) Regulation: Impact on RIAs
2/3/2012
PLANSPONSOR
A Changing World: Reasonable Compensation -- Brought to Light by 208(b)(2)
2/3/2012
Employee Benefits & Executive Compensation Alert
Finally the Final … 408(b)(2) Regulation
2/1/2012
Workforce Management
The Rise & Fall of Employer-Sponsored Pensions
1/24/2012
Client Alert
Capturing Rollovers
1/15/2012
PLANSPONSOR
Careful Endorsements
1/1/2012
Sparks Journal
408(b)(2) and the Rise of Benchmarking
12/19/2011
Investment News
Labor's Tenacious Rule Maker Isn't Done With 'Fiduciary' Fight
12/14/2011
Daily Journal
Minimizing Risks for Charity Board Members
12/8/2011
Employee Benefits & Executive Compensation Alert
Fiduciary Investment Advice for Participants
12/1/2011
PLANSPONSOR
Burden Sum
11/22/2011
Advisor One
7 Areas of ‘Relief’ for Advisors in DOL’s Re-Proposed Fiduciary Rule
11/16/2011
Forbes
Generation X: Time to Reboot
11/1/2011
PLANSPONSOR

'Class' Actions: Class-Action Litigation Concerning Expenses and Revenue-Sharing
10/30/2011
PLANSPONSOR
’Safe’ Hows: The Fiduciary Safe Harbor for Investment Managers
10/25/2011
Reuters
COMPLY: Labor Probe Seen Clarifying Fiduciary Rule
10/20/2011
Investment Management Insights
DOL Investigations: Broker-Dealers and RIAs as Targets
10/5/2011
Employee Benefits & Executive Compensation Bulletin
Service Provider Disclosures: The Impact on Plan Sponsors
10/3/2011
Journal of Pension Benefits
Fiduciary Considerations for Insured Retirement Income Products: Guaranteed Withdrawal Benefits
9/30/2011
401k Safe
Open Multiple Employer Plans: Tax and ERISA Considerations
9/1/2011
Plansponsor.com
The Risk of Growing Old: Protection against losses is more important during retirement
8/2/2011
J.P. Morgan Asset Management
Fiduciary implications: Using re-renrollment to improve target date fund adoption
8/2/2011
The Spark Journal
The Proposed Regulation on Fiduciary Advice and Its Impact on Record Keepers and Broker-Dealers
8/2/2011
Investment Management News
8/1/2011
Workforce Management Benefits
Workers, Employers Fret About Life After Retirement — 25 Years Later
8/1/2011
Plansponsor.com
Living Room?: The problem with living too long
8/1/2011
Employee Benefit News
New DOL Regulations Raise the Bar for Plan Fiduciaries
8/1/2011
401(k) Advisor
Getting Ready for the 408(b)(2) Regs?
7/20/2011
Financial Services ERISA Alert
Fee Disclosure Compliance Delayed
7/8/2011
The New York Times
Seeking Investment Flexibility In a 401(k)
7/1/2011
Plansponsor.com
Being Reasonable About Plan Expenses
6/20/2011
Barron's
Best Annuities
6/6/2011
Investment Management Alert
The DOL’s 408(b)(2) Regulation: Impact on Investment Managers
6/1/2011
Drinker Biddle
The Prudence Standard: Affiliated Products and Services
6/1/2011
Plansponsor.com
Targeting Date Funds: What you need to know about TDFs
5/4/2011
Employee Benefits & Executive Compensation Bulletin
The Problem With Living Too Long
5/1/2011
Plansponsor.com
QDIA Demographics: The approach that plan sponsors should take in designing the investment strategy for pooled defined contribution plans
3/14/2011
Bulletin
401(k) Account Balances as Monthly Retirement Income
3/1/2011
Plansponsor.com
Retirement Requirement: Does your company sponsor a 401(k) savings plan or a 401(k) retirement plan?
2/24/2011
Bulletin
Fiduciary Considerations for Insured Retirement Income Products: Focus on Guaranteed Withdrawal Benefits
2/1/2011
Bulletin
The Impact of 408(b)(2) on Service Providers
2/1/2011
Plansponsor.com
Part of the Parcel: Benchmarking as a part of a prudent process
2/1/2011
ERISA Controversy Report
Fiduciary Status for Referrals
1/1/2011
Plansponsor.com
Running the Fund: Safe Passage
1/1/2011
Plansponsor.com
Class-ifying Mutual Funds: the duty to understand mutual fund costs
1/1/2011
Bulletin
The New Form ADV Part 2: Convergence of ERISA and Securities Law Disclosure
12/1/2010
Plansponsor.com
Growth Is Good and Less Expensive: If you don't ask, you won't know
12/1/2010
Plansponsor.com
Cover: Excessive Forces
11/1/2010
Plansponsor.com
Roth Is Wrong--for Some People: Part II
10/1/2010
Plan Sponsor
Too Safe Is Too Bad: Safe Investments May Not Be Safe...For Fiduciaries
9/1/2010
Plan Sponsor
Theories and Realities: Target-Date Funds and Modern Portfolio Theory
9/1/2010
Employee Benefits & Executive Compensation Alert
The DOL’s 408(b)(2) Regulation: Impact on Broker-Dealers and Registered Representatives
8/1/2010
The DOL’s 408(B)(2) Regulation: Impact on Registered Investment Advisers (RIAs)
8/1/2010
Plansponsor.com
Roth Is Wrong--for Some People
7/1/2010
Plansponsor.com
Beware of Gifts: Prohibited transactions and conflicts of interest
6/1/2010
Plansponsor.com
The 401(k) Destination: If you don't know where you are going...
5/1/2010
Plansponsor.com
Past, Present, and Future: Monitoring 401(k) investments
4/1/2010
The Report to Plan Sponsor
Disclosure of Costs to Participants
3/1/2010
Plansponsor.com
The Target-Date Duty: Time for a new look at TDFs
2/1/2010
Plansponsor.com
Analyze This: Cost benefit analysis requires a long view
1/1/2010
Plansponsor.com
Document Ed: Customize your plan document
12/1/2009
Plansponsor.com
Removal Spot: The duty to remove investments
12/1/2009
Bulletin
Brokers As Fiduciaries: The Reality and the Issues
11/1/2009
Plansponsor.com
Question Marks: Four questions for fiduciaries about TDFs
10/1/2009
Plansponsor.com
Directing the Plan: Directors as fiduciaries
9/1/2009
Plansponsor.com
Reasonable Approaches: Are your fees reasonable?
8/1/2009
Plan Sponsor magazine
Sharing Fees
7/1/2009
Plan Sponsor magazine
Targeted Flavors
7/1/2009
Bulletin
Fiduciary Status for Broker-Dealers
12/1/2008
Bulletin
Department of Labor Focuses on Revenue Practices: What Are Your Fiduciary Duties Regarding Revenue-Sharing Arrangements?
12/1/2008
Plan Sponsor
New Year’s Resolutions
11/1/2008
Plan Sponsor
Sustain Abilities: Adapt and Modify
10/1/2008
Plan Sponsor
Revenue Sharing: What Is It
10/1/2008
Bulletin
Disclosure of Service Provider Compensation: Final 408(b)(2) Regulation Will be Issued Soon
9/1/2008
Plan Sponsor
The Cost of Knowledge
7/1/2008
The Report to Plan Sponsor
Responding to LaRue
7/1/2008
The Report to Plan Sponsor
Re-Enrolling: Doing Well While Doing Good
7/1/2008
The Report to Plan Sponsor
Future DOL Guidance
7/1/2008
Plan Sponsor
The Future Is Here
7/1/2008
The Report to Plan Sponsor
What 408(b)(2) Means to Plan Sponsors
6/1/2008
Plan Sponsor
For Better or Worse?
6/1/2008
Bulletin
Navigating the QDIA Notice Requirements
5/1/2008
Plan Sponsor
Corporate Governance: ERISA-Style
5/1/2008
The Adviser Report
Real World Issues for Advisers, 408(b)(2), Agreements and Fiduciary Status
5/1/2008
The Adviser Report
The Impact of 408(b)(2) on Advisers
5/1/2008
The Adviser Report
What about LaRue?
3/1/2008
The Fiduciary Practice Report
The Universal Fiduciary
3/1/2008
Plan Sponsor
Pickup Lines
2/1/2008
The Report to Plan Sponsor
Academic Studies On Participant Behavior
2/1/2008
The Report to Plan Sponsor
401(k) Expense Recapture
2/1/2008
Bulletin
How You Are Paying What You Don’t Know: A Primer on Indirect Mutual Fund Payments
2/1/2008
Plan Sponsor
First Things First
2/1/2008
The Report to Plan Sponsor
Design Issues for Automatically Enrolled Plans
1/1/2008
Plan Sponsor
The Truth
12/1/2007
The Adviser Report
An Interesting Question: Investment Managers and IRAs
6/1/2007
Plan Sponsor
Average Bearing
6/1/2007
The Report to Plan Sponsor
Fiduciary Responsibility for 401(k) Fees and Expenses
6/1/2007
Report To Plan Sponsors
DOL Penalties and Blackout Notices
12/1/2006
Plan Sponsor
The Duty To Get Help
11/1/2006
Plan Sponsor
The Right Focus
3/1/2006
The Report to Plan Sponsor
Asset Allocation and Information Overload
12/1/2005
Plan Sponsor
Education Precedents
11/1/2005
Government & Tax Exempt Plans Report
Universal Prudence
1/1/2005
Journal of Pension Benefits
Fiduciary Rules Applicable to (b) Plans
1/1/2005
Plan Sponsor
New Year's Resolutions
12/1/2004
The ERISA Report for Plan Sponsors
Classification of Workers
12/1/2004
The ERISA Report for Plan Sponsors
Form SSA and Missing Benefits
12/1/2003
ERISA Controversy Report
Here Comes the Judge: The First Enron Decision Has Arrived
12/1/2003
Plan Sponsor
Self-Dealing?
2/1/2002
Journal of Pension Benefits (Volume 9, Number 2, Winter 2002)
Does ERISA Require An Investment Policy Statement?