Brokerage Windows in 401(k) Plans: The Total Abdication of Fiduciary Responsibility

Benefits Law Journal 34 (4):4-44 (2021)
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This article addresses the fiduciary issues raised by the current practice of plan fiduciaries of not only disclaiming any fiduciary responsibility for brokerage window investments, but also abdicating any role (fiduciary or otherwise) in assessing even the general suitability of those investments for a retirement plan, and concludes that the practice is in plain and notorious violation of what ERISA requires of fiduciaries.
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Archival date: 2022-01-13
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