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E-mail: CFDD@TheCFDD.com
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CFA Institute
What Every Investor Should Know [1]
CFDD
Evaluating ERISA Plan Advisors [2]
Charles Schwab Institutional
Investing In More Objective Advice: A Guide to Working With an Independent Registered Investment Advisor [3]
Fi360
Self-Assessment of Fiduciary Excellence [4]
Fred Reish & Joe Faucher
The Fiduciary Duty to Ask for Help [5]
GAO
Conflicts of Interests Can Affect DB & DC Plans [6] (3/09)
Fulfilling Fiduciary Obligations Can Present Challenges [7] (7/08)
Increased Reliance On 401(k)s Calls for Better Fee Information [8] (3/07)
Multnomah Group, Inc.
ERISA Fiduciary Responsibility: Fiduciary Reliance on Registered Investment Advisors [9]
NAFPA
Comprehensive Financial Planning Diagnostic [10]
Comprehensive Financial Planning Checklist [11]
Pete Swisher
Solving an Employer’s Fiduciary Dilemma: Liability, Discretion & The Role of the Qualified Plan Advisor [12]
PWBA Advisory Council Working Group
Questions A Fiduciary Should Ask [13]
SEC
Examinations of Select Pension Consultants [14]
Investment Advisors: What You Need to Know Before Choosing One [15]
U.S. Department of Labor
Meeting Your Fiduciary Responsibilities [16] (10/08)
[17]
A Look at 401(k) Plan Fees [18] (9/06)
Selecting & Monitoring Pension Consultants: Tips for Plan Fiduciaries [19] (5/05)
Understand Retirement Plan Fees & Expenses [20] (5/04)
Links:
[1] http://www.thecfdd.com/files/researchtrends/Research5.pdf
[2] http://www.thecfdd.com/evaluatingretirementplanadvisors
[3] http://www.thecfdd.com/files/researchtrends/Research8.pdf
[4] http://www.thecfdd.com/files/researchtrends/Research9.pdf
[5] http://www.reish.com/publications/article_detail.cfm?ARTICLEID=498
[6] http://www.thecfdd.com/files/monitor/ConflictsOfInterest.pdf
[7] http://www.thecfdd.com/files/monitor/FulfillingFiduciaryObligations.pdf
[8] http://www.thecfdd.com/files/monitor/IncreasedRelianceOn401kPlans.pdf
[9] http://www.thecfdd.com/files/researchtrends/Research10.pdf
[10] http://www.thecfdd.com/files/researchtrends/Research12.pdf
[11] http://www.thecfdd.com/files/researchtrends/Research11.pdf
[12] https://www.unifiedtrust.com/services/SolvinganEmployersFiduciaryDilemmawebversion12-02-05.pdf
[13] http://www.thecfdd.com/files/researchtrends/Research4.doc
[14] http://www.thecfdd.com/files/researchtrends/Research1.pdf
[15] http://www.sec.gov/investor/pubs/invadvisers.htm
[16] http://www.thecfdd.com/files/monitor/MeetingYourFiduciaryResponsibilities.pdf
[17] http://www.thecfdd.com/files/researchtrends/Research2.pdf
[18] http://www.thecfdd.com/files/monitor/ALookAt401kPlanFees.pdf
[19] http://www.thecfdd.com/files/researchtrends/Research2.pdf
[20] http://www.thecfdd.com/files/monitor/UnderstandRetPlanFees.pdf