Transcription of WHO IS A FIDUCIARY? - Wagner Law Group
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WHO IS A FIDUCIARY? - Wagner Law Group
WHO IS A fiduciary ? February 2008. by: Marcia S. Wagner , Esq. The Wagner Law Group A Professional Corporation 99 Summer Street, 13th Floor Boston, MA 02110. Tel: (617) 357-5200. Fax: (617) 357-5250. _____. TABLE OF CONTENTS. _____. Page I. Are You A fiduciary ?..1. B. What is a fiduciary 's Basic Duty?..2. II. Hidden 401(k) Plan Fees and III. Do You Need Professional Liability Insurance?..9. IV. The Benefits of a fiduciary WHO IS A fiduciary ? I. Are You A fiduciary ? At what point in its efforts to assist an employer with the employer's responsibilities in relation to a 401(k) plan does an investment professional take on a fiduciary role under the ERISA? This is a critical question, since ERISA has rules governing fiduciaries that do not apply to non- fiduciary service providers.
e.g., the plan’s recordkeeper or other third party administrator, for performing services that the mutual fund might otherwise be required to perform.
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