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Tag "broker"

FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 6/7/19

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 6/7/19

SEC’s best interest, ERISA’s fiduciary, and through the floor on fees.

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Exclusive Interview: MoneyTrackā€™s Pam Krueger Says Itā€™s Time for Industry and Regulators to ā€œPick a Laneā€

    Exclusive Interview: MoneyTrackā€™s Pam Krueger Says Itā€™s Time for Industry and Regulators to ā€œPick a Laneā€

“Pick a laneā€¦ please. Why is the SEC living in the land of ambiguity? Lead, follow, or step aside. I may not agree with Ken Fisher very often but on this point, I believe he nailed it…”

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 10/20/17

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 10/20/17

Fiduciary irony, fee disbelief, and investment deja vu.

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Exclusive Interview: Barbara Roper Says Mere Disclosure Inadequate for Fiduciary Advice

    Exclusive Interview: Barbara Roper Says Mere Disclosure Inadequate for Fiduciary Advice

For that to work, however, itā€™s not enough to change the titles brokers use ā€“ to make them call their sales representatives ā€œsalespeopleā€ and call their services ā€œsales recommendationsā€ ā€“ youā€™d also have to completely change the way they market themselves so that their marketing messages are consistent with their regulatory status.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 6/5/15

Government paranoia, fee confusion and the real fiduciary questions.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 5/1/15

Government retirement plan takeover progressing in drips, an interesting fee conundrum and fiduciary fisticuffs.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 4/24/15

Fiduciary battle begins, investment product problems, and retirement confidence rises.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 4/17/15

DOL’s Fiduciary Flop, fee focus and investment oddities.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 4/10/15

IRS tries hard, fiduciary home stretch, and 12b-1 fees in the doghouse.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 3/13/15

Pension Ponzi redux, Fiduciary feud growing louder, and the sudden rediscovery of the evils of 12b-1 fees.

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