By Christopher Carosa, CTFA | May 21, 2013
What is the most obvious reason we should have a fiduciary standard? Why is the biggest fear not that regulators don’t act, but that they do? How come annuity sales organizations are among the most vocal opponents of the fiduciary standard? Why is investor education not the barrier many believe it to be? What more
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Posted in Conflicts of Interest | Tagged 401k, Barbara Roper, CFA, Consumer Federation of America, DOL, Fiduciary Duty, Fiduciary Standard, plan sponsor, SEC
By Christopher Carosa, CTFA | April 23, 2013
The SEC is asking “how do we constrain fiduciary” instead of the other way around.
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Posted in Conflicts of Interest | Tagged Blaine Aikin, DOL, fi360, Fiduciary Standard, Ron Rhoades, SEC, Skip Schweiss
By Christopher Carosa, CTFA | April 22, 2013
Industry slams Obama Retirement Tax Plan, the coming Fiduciary Showdown and back to the old normal regarding investments.
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Posted in Trending Topics | Tagged 401k, 401k loan, 403b, advisor, cash balance, DOL, ERISA, Fiduciary Rule, Fiduciary Standard, GAO, growth, IRA, retirement, ROTH 401k, SEC, tax, value
By Christopher Carosa, CTFA | April 2, 2013
If maintaining fiduciary due diligence were easy, they wouldn’t publish a list like this.
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Posted in Compliance | Tagged 401k, DOL, fee, Fidelity Bond, fiduciary, Fiduciary Duty, fiduciary liabilty, prohibited transaction, service provider
By Christopher Carosa, CTFA | March 26, 2013
An old case suddenly takes on more relevance as the DOL may have Plan Sponsors in their cross-hairs.
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Posted in Conflicts of Interest | Tagged 12b-1, 408(b)(2), Broker-Dealers, court ruling, DOL, DOL Activity, EBSA, Fee Disclosure Rule, fiduciary, Fred Reish, Marcia Wagner, Phyllis C. Borzi, prohibited transaction, Registered Investment Advisers, RIA, Schlicter, service providers, USI
By Christopher Carosa, CTFA | March 25, 2013
Washington talks of scrambling nest eggs, DOL smacks poor fiduciaries and silly season for investments.
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Posted in Trending Topics | Tagged 12b-1, 401k, 401k loan, Bond, Calpers, court ruling, Detroit Pension, DOL, fiduciary, Fiduciary Rule, Fiduciary Standard, Ford, Harold Evensky, index fund, Kansas, passive-active, pension, retirement, SEAL, SEC
By Christopher Carosa, CTFA | March 11, 2013
Tax reform to take bite of 401ks? Can SEC draw fire from both sides? What is ‘Plan B’ for fees?
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Posted in Trending Topics | Tagged 12b-1, 401k, auto-enrollment, DOL, Fee Disclosure, Fiduciary Rule, Fiduciary Standard, investment performance, IRA, IRA Rollover, Savings, SEC, taxes
FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 5/17/13
By Christopher Carosa, CTFA | May 20, 2013
Post IRS, can DC be trusted with Fiduciary? Meanwhile, pop culture tries to define Fiduciary as there appears to be something strange brewing in the markets.
Read the full story...Posted in Trending Topics | Tagged 401k, 401k loan, Active ETF, Australia, Bond Bubble, boomer, Congress, court ruling, DOL, ERISA, ETF, fiduciary, index fund, interst rates, IRA, IRS, milennial, pension, Phyllis Borzi, plan sponsor, retirement, retirement income, Safe Harbor, SEC, Star Trek, target date fund, volatility | Leave a response