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Tag "disclosure"

Exclusive Interview with Yale’s Daylian Cain: Just a Sugar Pill? Disclosure’s “Ah-Ha!” Moment

Right now, disclosure is often a boiler-plate after thought, printed in fine-print legalese, not the sort of alarm-bell regulators assume it to be. If a fiduciary knowingly relies on this false siren, what are the risks?

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Washington Earthquake May Shake 401k Fiduciaries & Plan Sponsors (Part I of II)

For 401k plan sponsors and fiduciaries, this seismic events delivered out of the nation’s Capital on July 15 signals the start of significant changes in the way they operate their plans.

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Readers Select Top Fiduciary Stories of 2009: #4 Caterpillar Settlement

$16.5 million is a large price to pay for disclosure and due diligence a plan fiduciary can simply and consistently address. This may be the easiest action a 401k plan fiduciary to take to prevent the camel from sticking his nose under the tent.

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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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