Happy New Year and here is looking forward to another successful year on the 401(k) Fridays Podcast! We kick things off with my conversation with Jason Roberts, ERISA Attorney and the Founder & CEO of the Pension Resource Institute. As a prior and early podcast guest, the two prior episodes we did are still very relevant. While you don’t need to listen to them prior to this conversation, they are good to check out when you have a minute.
Prior Episodes: Are You Running Your 401(k) Committee Meeting Wrong & A Misunderstood Risk In Your 401(k) Plan
This time we connect on what has or hasn’t changed relating to fiduciary governance since we last got together, we also delve into the three distinct buckets of fiduciary duties Jason recommends plan sponsors think about, what the Department of Labor has on their focus list, the double edge sword of fee disclosure, everyone’s favorite fiduciary topic, target date funds, and some unique insights on “proprietary” investments. Jason also hits on a the hot topic of missing participants and a few investment policy statement tips and a few other nuggets.
Jason C. Roberts, Esq. is the founder and CEO of the Pension Resource Institute (PRI), a consulting firm that delivers strategic, compliance, training and technology-based solutions to financial institutions, retirement plan sponsors and asset managers. He is also a founder and shareholder at Retirement Law Group (RLG), a law firm specializing in ERISA and investment-related matters.
Prior to founding PRI and RLG, Jason was a partner and co-chair of the Financial Services Group at a leading ERISA law firm and the head of the Investment Fiduciary practice for a prominent securities industry legal defense firm.
Jason has been repeatedly recognized as one of the “100 Most Influential in Defined Contribution” by the 401(k) Wire and a “Rising Star” by SuperLawyers Magazine. In 2015, he was selected by InvestmentNews as one of the “Top 40 Advisors and Associated Professionals under 40” in the financial planning industry.
Jason has published numerous articles focusing on ERISA and securities compliance, fiduciary best practices and is a frequent speaker at retirement plan and financial industry conferences. He is a contributing author and faculty member for the Practicing Law Institute (PLI). Jason is also currently serving a two-year term as an advisor to the finance committee for the Beach Cities Health District.
Jason received his B.S.B.A. in Finance & Banking from the University of Missouri and his J.D. from the University of California, Los Angeles (UCLA) School of Law. He is a graduate of FINRA’s Compliance Boot Camp and has obtained the designation of Accredited Investment Fiduciary Analyst™ from the Center for Fiduciary Studies.
401(k) Fridays Podcast Overview
Struggling with a fiduciary issue, looking for strategies to improve employee retirement outcomes or curious about the impact of current events on your retirement plan? We've had conversations with retirement industry leaders to address these and other relevant topics! You can easily explore over one hundred prior on-demand audio interviews here. Don't forget to subscribe as we release a new episode each Friday!