FiduciaryNews

Conflicts of Interest

Survey Threatens SIFMA/FSI Fiduciary Positions

There’s no turning back. The cat is out of the bag. Regulators or not, the marketplace seems to have already made the decision to adopt the fiduciary standard.

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Study Shocker: 9 of 10 401k Plans Exposed to Increased Conflict-of-Interest Risk

Worse, “all-in” might not be all it’s meant to be, possibly invalidating other results from the same survey. Here’s why.

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Industry Fights Hard to Exclude IRAs from Fiduciary Standard

Is this the last gasps of a dying business model whose ruins new life seems destined to find rebirth?

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Why Should 401k Plan Sponsors Care What Others Think About the Fiduciary Standard?

The result of a new J.D. Power & Associates survey poses a double jeopardy for 401k plan sponsors. In the end, though, there’s only one correct answer to the question.

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Fiduciary Standard: Backdoor Solution to 401k Plan Sponsors’ 12b-1 Problem?

On the one hand SEC Chairman Shapiro wants to “put the client first.” On the other hand, she delays addressing a conflict of interest research has shown to hurt investors. Is there a method to this madness?

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Does New Study Seal the Deal for Fiduciary Standard – or Just Warn Plan Sponsors?

This one paper almost accidentally seals the deal for the fiduciary standard, exposes the conflict-of-interest created by 12b-1 fees and, dare we say, touches the forbidden third rail of all investment research…

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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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SEC’s 12(b)-1 Proposal: Does It Actually Increase 401k Fiduciary Liability?

Fiduciary News interviews an industry spokesman, who, on the condition of anonymity, shares a shocking point in the SEC 12b-1 proposal that has, to date, failed to receive the media coverage one might expect.

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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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