408(b)(2)

FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 6/13/14

By Christopher Carosa, CTFA | June 16, 2014

Government butting in, Fonz as Fiduciary and the clash of the investing theory titans.

Posted in Trending Topics | Tagged 401k, 408(b)(2), Annuity, auto-enrollment, court ruling, disclosure, ERISA, fee, fiduciary, Fiduciary Rule, Fiduciary Standard, Galvin, Goal-Oriented Target, Inherited IRA, IRA, retirement, risk, Rubio, Savings, volatility | Leave a response

FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 5/23/14

By Christopher Carosa, CTFA | May 27, 2014

Flyover America Acts, SEC babbles and How to Get Better Investment Returns.

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Posted in Trending Topics | Tagged 401k, 408(b)(2), auto-enrollment, Child IRA, Christie, court ruling, Detroit, DOL, fiduciary, Fiduciary Rule, Fiduciary Standard, IRA, retirement, Retirement Readiness, Ric Edelman, Rubio, SEC, target date fund, Tussey v ABB | Leave a response

FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 5/16/14

By Christopher Carosa, CTFA | May 19, 2014

When Will Washington Ever Learn? Fees, Glorious Fees! and I Believe in Target Date.

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Posted in Trending Topics | Tagged 408(b)(2), DOL, ERISA, fiduciary, Fiduciary Rule, IRA Rollover, retirement, risk tolerance, Rubio, target date fund, The Institute for the Fiduciary Standard | Leave a response

FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 4/18/14

By Christopher Carosa, CTFA | April 21, 2014

A cornucopia of compliance concerns, Was Godot a fiduciary? and strange complaints about fee disclosure.

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Posted in Trending Topics | Tagged 401k, 408(b)(2), Annuity, Congress, court ruling, DOL, Fee Guide, fiduciary, Fiduciary Duty, Fiduciary Rule, financial literacy, menu choice, pension, retirement | Leave a response

DOL Proposed 401k Fee Roadmap: Merely Ineffective or A Major Plan Sponsor Sandtrap?

By Christopher Carosa, CTFA | March 25, 2014

“A one-pager can really let the sun shine on the industry.”

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Posted in Fees | Tagged 401k, 408(b)(2), Bruce Ashton, Deborah Castellini, DOL, Fee Disclosure Rule, fiduciary, Guidelines, John Graves, liability, Ozeme Bonnette, Pete Marriott, plan sponsor, Simon Moore, Timothy Yee, Tom Zgainer | 3 Responses

FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 3/7/14

By Christopher Carosa, CTFA | March 17, 2014

Fiduciary Tango Continues, the 401k Fee Treasure Map and KISS Investing.

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Posted in Trending Topics | Tagged 401k, 408(b)(2), breach fiduciary duty, conflict, court ruling, disclosure, DOL, Dual Registrant, Dual Registration, Fee Disclosure, fee disclosure guide, fiduciary, Fiduciary Standard, match, Public Employee Pension Plan, retirement, San Jose, Schlichter, SEC, SEP, target date fund | Leave a response

FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 12/27/13

By Christopher Carosa, CTFA | December 30, 2013

Puerto Rico shows America the way, the DOL brings out the big gun and the Fee Disclosure Fiasco.

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Posted in Trending Topics | Tagged 401k, 408(b)(2), court ruling, DOL, Fee Disclosure, Fiduciary Rule, plan sponsor, public pension, target date fund, TDF | Leave a response

401k Fiduciary Liability in a Multi-Vendor Environment

By Christopher Carosa, CTFA | October 15, 2013

The best interests of the 401k participants will always trump convenience and cost.

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Posted in Conflicts of Interest | Tagged 3(16), 401k, 408(b)(2), broker, custodian, DOL, Fee Disclosure Rule, fiduciary, payroll processor, Peter Macaluso, plan sponsor, recordkeeper, RIA, Rick Unser, suitability, Third Party Administrator, TPA | 1 Response

FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 9/27/13

By Christopher Carosa, CTFA | September 30, 2013

End near for pensions? Changing Fiduciary Duties and Ignoring Academic Investment Advice.

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Posted in Trending Topics | Tagged 401k, 408(b)(2), annuities, Detroit, DOL, Estate Planning, fiduciary, Fiduciary Rule, Gen X, High Net Worth Retiree Needs, MEPs, passive-active, pension, Phyllis C. Borzi, Reg D, retirement, Social Media, Social Security, target date fund | Leave a response

Exclusive Interview with Phyllis C. Borzi: Why Plan Sponsors Shouldn’t Treat Their 401k Plans Like Cheap T-Shirts

By Christopher Carosa, CTFA | September 24, 2013

Borzi: “…the average person would prefer to work with people who are legally required to provide unbiased investment advice and put the client’s interests first.”

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Posted in Compliance | Tagged 12b-1, 401k, 408(b)(2), Daylian Cain, disclosure, DOL, EBSA, ERISA, expense ratio, fee, Fee Disclosure Rule, fiduciary, MEP, Phyllis C. Borzi, plan sponsor, revenue sharing | 5 Responses

408(b)(2)

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