Evidence of Comprehension - How Do You Know When An Investor Understands? And How Much Does It Matter?

By Annette Quintana on May 1, 2017 12:34:00 PM


In an earlier blog, "The DoL Fiduciary Rule: How does investor comprehension fit in?", I explored both the written and implied requirements in ERISA and the DoL rules related to disclosures and the need to ensure that investors understand.
This blog explores the question of ‘how do you know’ that an investor understands?

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Help clients understand disclosures and reduce legal risk [video]

By Annette Quintana on Apr 25, 2017 10:04:50 AM

Build trust with clients and reduce the risk of lawsuits and regulatory challenges under the DoL Fiduciary Rule with Aprisi Assure.

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If you are a 401(k) trustee, you could be sued for less than expected returns!

By Annette Quintana on Apr 19, 2017 9:41:39 AM

It may sound inconceivable, but I recently realized that as an employer and the trustee of my company 401(k) plan, I’m at risk of being sued by plan participants who are unhappy with their returns.  I didn’t think this was even possible since I’m not the person responsible for managing the funds under management.

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