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Posts From Christopher Carosa, CTFA

Will 401k Plan Sponsors Wonder: Doth the 12b-1 Industry Protest Too Much?

Was a major financial professional organization covering up some important data in their comment letter to the SEC? Or is the industry’s 401k defense of 12b-1 fees much ado about nothing?

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 11/5/10

If you’ve come to Fiduciary News for the water, then this week’s trending topics is just for you. It starts with a whole list of bad investment ideas, includes the continuing dilemma of pensions and a fiduciary fight and ends with a future issue.

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ETF Innovations: Good (or Bad) for ERISA Plan Sponsors?

These popular product have become more accessible even as they are evolving. What’s that mean to retirement plan sponsors?

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Top 10 Reasons 401k Plan Sponsors Fear ETFs Not Ready For Primetime

With even insiders questioning their appropriateness, it’s easy to understand why 401k plan sponsors continue to feel uncomfortable with ETFs. What exactly did these experts say?

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 10/29/10

If you give yourself some time to file an article you tend to be a little bit more thorough. It’s kinda like why “the fastest guns in the West” didn’t survive too long – they didn’t take the time to aim. This week’s news stories aimed well – and hit!

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Exclusive Interview with Stanford Professor Charles Lee: Why Fees May be Less Important to 401k Plan Sponsors

Professor Lee’s research exposes two myths that make it critical for 401k plan sponsors to fully vet all the relevant research as part of their standard due diligence process.

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 10/22/10

Just as we get the fallout from the new DOL fee disclosure rule, the DOL hits 401k Plan Sponsors with another whammy – a new definition of Fiduciary.

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Exclusive Interview with Yale’s Daylian Cain: Just a Sugar Pill? Disclosure’s “Ah-Ha!” Moment

Right now, disclosure is often a boiler-plate after thought, printed in fine-print legalese, not the sort of alarm-bell regulators assume it to be. If a fiduciary knowingly relies on this false siren, what are the risks?

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 10/15/10

You won’t believe some of the articles that appeared this week – and supposedly high end publications!

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How the ERISA Fiduciary Can Avoid the 3rd Deadly Sin – Bond Insecurity

Bond investing is not for the faint-hearted. Because of the myriad ways one can use – and misuse – bonds, buying them represents one of the most important caveat emptor scenarios in the world of investing.

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