Insights from the experts in investment fiduciary responsibility.

Fiduciary Links: ERISA 3(38) Investment Management Agreement Webinar Announced

Posted by fi360 Team on July 01, 2013

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>>>>On Thursday, July 11th, fi360 and Pioneer Investments will be hosting a webinar, ERISA 3(38) Investment Management Agreement, at 4:15 p.m. ET. The session will be led by ERISA attorney Fred Reish from Drinker Biddle & Reath LLP law firm.    

Some of the topics that will be covered include the role of a 3(38) discretionary investment manager for 401(k) plans, and the protections afforded to plan sponsors and fiduciaries. The decisions that need to be made in the development of a 3(38) investment manager relationship and the unique provisions of a 3(38) advisory agreement as compared to a 3(21) non-discretionary agreement will also be discussed. 


This session will count as one hour of free CE credit for those with the AIF or AIFA designation. The session will end with a  Q&A period. You can register for the event here.


>>>>A recent survey conducted by Paladin Advisor Research & Registry found that only 14% of RIAs with IARs discussed their method of compensation when marketing their financial advice to potential clients. This strategy can lead to confusion and misunderstanding, and may even impact credibility.


When investors were questioned about advisor compensation, 86% were confused by expenses deducted from their accounts. Further inquiry revealed that only 26% of investors were interested in finding the lowest-cost provider, while most were desirious of finding an advisor they could trust. 


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