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Fiduciary Education And Training

Retirement Plans require prudent governance.  That’s why plan sponsors and fiduciaries have a responsibility to become educated about what they have to do in order to properly administer their company retirement plan to a fiduciary standard of care.  Plan sponsors and fiduciaries also have to keep abreast of any new rules and regulations that may impact the way they execute their roles.

We understand that plan sponsors have varying levels of understanding about their roles and responsibilities.  We also understand that it can be extremely difficult for plan sponsors to stay on top of all the changes the IRS, the DOL, Congress and the Courts regularly impose on retirement plans and their fiduciaries.

That’s why we developed our Fiduciary Fitness ProgramTM.

Our Fiduciary Fitness ProgramTM provides a comprehensive, holistic approach to fiduciary best practices.  Our curriculum consists of twenty-one courses, divided into six major categories:

Fiduciary Basics:

  • Who is a Fiduciary?
  • What Are Your Fiduciary Responsibilities?
  • What Are Your Fiduciary Liabilities?
  • How to Maintain Your Fiduciary File


Setting Up & Maintaining Your Plan:

  • How to Select and Monitor Service Providers
  • Understanding Fees & Expenses
  • Setting Up & Maintaining Your Plan


Plan Investments:

  • How to Select and Monitor Investments
  • Investing in Employer Securities & Real Property
  • Target Date Fund Selection Strategy & Process



  • Your Participant Experience


Plan Compliance and Regulation:

  • ERISA 404(a) and 404(c) Compliance Overview
  • Understanding 408(b)(2) Regulations
  • Understanding 404(a)(5) Regulations
  • Understanding Control Groups
  • How to Deal with Mergers & Acquisitions
  • Claims and Appeals Procedures
  • Exclusion of Employees from Making Elective Contributions
  • Defense of Marriage Act (DOMA)


Managing Risk:

  • Strategies to Minimize Risk
  • Understanding and Managing Prohibited Transactions


Please Send or Email Me More Information About Fiduciary Education And Training

Fiduciary Briefcase
Investment Insight & Oversight
Fiduciary Training and Education
Improving Participant Outcomes
Plan Benchmarking