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By Christopher Carosa, CTFA | August 29, 2011
A week with compliance news coming in from all sides. What issue will have the greatest impact?
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Posted in Trending Topics | Tagged 401k, Compliance, ETF, fee, Fee Disclosure, fiduciary, Fiduciary Standard, IRA, Modern Portfolio Theory, risk
By Christopher Carosa, CTFA | July 5, 2011
It’s a tale of two regulators. One wants to play politics while the other wants to accomplish something. Meanwhile, ETFs continue to get mixed reviews.
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Posted in Trending Topics | Tagged 401k, Compliance, DOL, ETF, fee, fiduciary, Fiduciary Standard, liability, plan sponsor, SEC
By Christopher Carosa, CTFA | December 21, 2010
Here’s your chance to see a real example of the new DOL 401k Disclosure Rule in practice. Complete with links to vital DOL documents.
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Posted in Compliance | Tagged Compliance, disclosure, DOL, fee
By Christopher Carosa, CTFA | December 7, 2010
Isn’t it ironic that the very people who 401k plans were created to benefit have decided it’s easier to ignore the maze than to constructively participate. Allowing the 401k to evolve up to today’s technology will solve many problems.
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Posted in Opinion | Tagged 401k, Compliance, Due Diligence, fee, fiduciary, liability, target date fund
By Christopher Carosa, CTFA | August 23, 2010
The current economic setting only heightens fiduciary liability. Last year, the DOL logged more than 4.5 corrected violations per business day. With aggressive litigators using technology to sniff out these violators and others, what’s a 401k plan sponsor to do?
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Posted in Compliance | Tagged 401k, Compliance, Conflicts of Interest, Due Diligence, Fees, fiduciary, Fiduciary Solutions, investment, liability, litigation
By Christopher Carosa, CTFA | June 8, 2010
Where’s the best place for the 401k plan sponsor to go for free help on their fiduciary duties and responsibilities?
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Posted in Compliance | Tagged 401k, Compliance, Department of Labor, DOL, Education, ERISA, Fees, fiduciary, Fiduciary Solutions, responsibilities
By Christopher Carosa, CTFA | May 18, 2010
Will Congress, the SEC and the DOL upgrade the current fiduciary standard to the trust model used by bank trust departments so successfully for more than a century?
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Posted in Education | Tagged 401k, Compliance, DOL, ERISA, fiduciary, Fiduciary Solutions, liability, SEC
By Christopher Carosa, CTFA | December 22, 2009
The topsy-turvy 2009 provided some of the biggest fiduciary stories in years. Which do you think rates as the most important?
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Posted in Trending Topics | Tagged 12b-1, 2009, 401k, active, adams, Alfred, BrightScope, broker, Caterpillar, Compliance, Congress, custodian, D. Bruce Johnsen, Department of Labor, DOL, Fees, fiduciary, Fiduciary News, Fiduciary Standard, Fortune 100, Geld, George Mason University, Great Depression, Jim Geld, johnsen, Journal of Investing, LinkedIn, Mary Schapiro, Mike Alfred, mutual fund, nevin adams, newsweek, passive, pension, pension plan, plan sponsor, PLANSPONSOR, Public Employee Pension Plan, recordkeeper, registered investment adviser, retirement, Retirement Targets, revenue sharing, RIA, Roger Wohlner, Schapiro, SEC, Securities and Exchange Commission, shareholder, suitability standard, Supreme Court, target date, target date fund, Thatcher, time, Time Magazine, top stories, top story, Wall Street Journal, William R. Thatcher, Wohlner, WSJ
By Christopher Carosa, CTFA | October 26, 2009
Contrary to popular press reports, economic theory clearly suggests paying high fees is justified. Here’s the cruel irony and the greatest danger posed by the myth of high mutual fund fees: by taking back some of the responsibility normally delegated to professional advisers, an active fiduciary may in reality take on a greater fiduciary liability.
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Posted in Fees | Tagged 401k, Compliance, D. Bruce Johnsen, DOL, economies of scale, efficiency wage notion, ERISA, Fees, George Mason University, Investment Company Act, investment performance, Jones v. Harris, liability, mutual funds, pension plan, registered investment adviser, RIA, Section 36(b)
By Christopher Carosa, CTFA | October 15, 2009
Unless and until we can break the momentum of intertwined conflicts-of-interest, the greatest legacy we’ll leave our grandchildren’s children may be an outstanding bill to pay for spiraling public employee retirement benefits.
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Posted in Opinion | Tagged 401k, Calpers, Compliance, Conflicts of Interest, Due Diligence, Education, ERISA, Fees, mutual funds, New York State Pension, New York Times, Pay to Play, Public Employee Pension Plan, Wall Street Journal
Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 8/26/11
By Christopher Carosa, CTFA | August 29, 2011
A week with compliance news coming in from all sides. What issue will have the greatest impact?
Read the full story...Posted in Trending Topics | Tagged 401k, Compliance, ETF, fee, Fee Disclosure, fiduciary, Fiduciary Standard, IRA, Modern Portfolio Theory, risk | 1 Response