FIDUCIARY COUNSELORS INC. acts as the independent fiduciary in transactions involving plan assets, including employer stock. We also provide expert advice on a range of fiduciary and investment matters. Our services include:

There are a number of instances where an independent fiduciary can play a critical role in the management of employer securities or other related-party assets contributed to and held in benefit plans. In some cases we are retained to represent the interests of plan participants with regard to employer securities held… more

Litigation involving plan sponsors can impact the level of plan assets and benefits, sometimes in a significant way. Often, litigation can result in a settlement where the plan is a potential class member or is otherwise providing a release to a party in interest. If the proper steps are not taken, a prohibited transaction can result. ..more

There are numerous investment-related situations where a plan sponsor or other named fiduciary could reduce exposure to liability by the transfer of fiduciary responsibility to an independent third party. Whether looking to avoid a conflict of interest or to delegate responsibility to a knowledgeable expert, the appointment of an independent fiduciary … more

The purchase of annuities can be used to settle some or all of a plan’s benefit obligations. In instances of a formal plan termination, the purchase of annuities satisfies all of the plan’s benefit obligations as the insurance carrier assumes responsibility for all liabilities. In other instances, the purchase of annuities can be used to settle the benefits for a subset of plan participants such as current retirees. ..more

There are a number of situations where an independent plan administrator may be required to manage the on-going operation of a plan. A plan sponsor becoming non-operational as a result of bankruptcy or financial distress can result in a plan being “orphaned.” In other instances, a court or government agency may require an independent third party manage the plan. …more

The laws governing employee benefit plans continue to evolve. Legislation, regulations, and administrative interpretations require constant attention to ensure compliance. In some instances, such as meeting the requirements for a particular prohibited transaction exemption, an independent fiduciary is required… more

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