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Conflicts of Interest
All fiduciaries – whether they deal solely with retirement plans, individual trusts or act in a professional category – have a duty to avoid self-dealing. This applies to your vendors, too. Learn how to sniff out hidden conflicts-of-interest, what circumstances might increase their likelihood and how to avoid them.
As Industry Takes Sides in SEC 12b-1 Debate, Will 401k Plan Sponsors Benefit?
As industry players take predictable sides, will 401k plan sponsors benefit from seeing how the sausage is made?
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Official SEC 12b-1 Fee Press Release – Regulator Seeks Public Comment (UPDATED)
The Official press release provided by the SEC asking for public comment.
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Exclusive Interview with BrightScope’s Mike Alfred: Most 401k Plan Sponsors “Have No Idea…”
Why some target date investors should be furious, why expecting 401k plan sponsors to comment on a change they don’t understand would be asking far too much and just see what he says about 12b-1 fees.
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Exclusive Comments from Industry Insiders Suggest Fin-Reg’s Fiduciary Standard May Impact 401k Plan Sponsors
The adoption of a universal fiduciary standard may greatly impact how their plans operate. You might be surprised to hear what industry insiders are saying about it.
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3 Terrible Problems the New DOL Investment Advice Rule Poses to the 401k Fiduciary
Under the DOL’s proposed Investment Advice Rule, if a plan enters into a prohibited relationship with a vendor – or if an existing relationship now becomes prohibited – fiduciary liability rises. Can the 401k fiduciary afford to ignore these critical issues?
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3 Great Ways the New DOL Investment Advice Rule Helps the 401k Fiduciary
Are you breathing a sigh of relief? Commentators seem to have coalesced around several key benefits of this proposed Rule. Can you see these helping your plan’s participants?
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DOL Releases New Investment Advice Rule: More (or Less?) Trouble for the 401k Fiduciary
The question now on the mind of every 401k fiduciary: Will the DOL’s new rule increase my personal fiduciary liability?
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Readers Select Top Fiduciary Stories of 2009: #7 The SEC’s Statement on 12b-1 fees
SEC’s Mary Shapiro: “When it comes to 12b-1 fees, there is a need for more fundamental change than mere disclosure reforms and a name change.” FiduciaryNews’ exploration of this hot potato reveals a surprising misconception.
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3 Reasons the SEC’s New 12(b)-1 Stance May Increase 401k Fiduciary Liability
The SEC does the right thing, and some 401k fiduciaries may find they’ve been doing the wrong thing.
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3 Pointed Questions Determine If New DOL Decision on the 401k Investment-Advice Rule Increases Your Fiduciary Liability
Worried while Washington fiddles? These three vital questions might just help you determine if today’s DOL ruling will increase your personal fiduciary liability.
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