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Posts From Christopher Carosa, CTFA

How a Fiduciary Answers the Individual Stocks vs. Mutual Fund Question

    How a Fiduciary Answers the Individual Stocks vs. Mutual Fund Question

If you’re a fiduciary and you haven’t ask this question, you might want to read this before you make your next decision.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 5/18/18

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 5/18/18

Fiduciary c’mon man, fee disclosure flop, and back to the old investment game.

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Exclusive Interview: Phyllis Borzi says Original Fiduciary 5-Part Test Left Plan Sponsors “Holding the Bag”

    Exclusive Interview: Phyllis Borzi says Original Fiduciary 5-Part Test Left Plan Sponsors “Holding the Bag”

For 8 years as Assistant Secretary of EBSA, Phyllis Borzi fought vigorously to protect plan sponsors and retirement savers under the uniform fiduciary umbrella. Here, she answers questions about the past, present and future of the Fiduciary Rule.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 5/11/18

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 5/11/18

Policy incentives, fiduciary confusion, and the fee disclosure shell game.

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It’s Not the Professional Title, But This Written Document That Creates a Fiduciary Relationship

    It’s Not the Professional Title, But This Written Document That Creates a Fiduciary Relationship

Are LPOAs enough to end the confusion? Maybe not. But they do provide the legal basis for which one can substantiate the reality of a fiduciary relationship.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 5/4/18

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 5/4/18

Fiduciary Scorecard: SEC down and DOL out; 12b-1 matters; and TDFs might not (in the way you think they do)

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Self-Dealing Ban Eliminates Greatest Fiduciary Conflict-of-Interest

    Self-Dealing Ban Eliminates Greatest Fiduciary Conflict-of-Interest

The definition of “conflict-of-interest” has become so broadly defined as to render it useless. It’s better to focus on the one conflict-of-interest that, with very limited exceptions, fiduciaries have had to outright ban for centuries. Ironically, in contrast to this precedent, it remains the one conflict-of-interest the DOL expressly permits.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/28/18

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/28/18

Lotta regulator noise, fiduciary fallout, and DOL comes clean on “social” investing.

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Is “Active Share” the New Phrenology?

    Is “Active Share” the New Phrenology?

The controversial and decidedly partisan report not only took aim at the policies of the current administration, it entered into the passive/active debate by solely targeting actively managed funds. Worse, the report reveals a rather naïve understanding of mutual funds and investing.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/20/18

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 4/20/18

SEC punts fiduciary, fees aren’t everything, and old time investing.

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