Browse: Home /
Fee Disclosure Rule
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.
Read the full story...
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 | February 19, 2013
How to prepare for a DOL Audit, SEC on the brink? and solutions looking for a problem.
Read the full story...
Posted in Trending Topics | Tagged 4% rule, 401k, 408(b)(2), annuities, court ruling, Detroit Pension, DOL Audit, ERISA Breach, ETF, eTrade, Fee Disclosure Rule, fiduciary, Fiduciary Duty, Fiduciary Rule, Fiduciary Standard, IRA, retirement, ROTH 401k, SEC, trustee
By Christopher Carosa, CTFA | December 17, 2012
More taxing threats, defining fiduciary down and the failure of fee disclosure.
Read the full story...
Posted in Trending Topics | Tagged 401k, Fee Disclosure Rule, Fiduciary Standard, FINRA, IRA, mutual funds, retirement, Savings, tax
By Christopher Carosa, CTFA | December 10, 2012
Black Helicopters circling your 401k and regulation: The Good, the Bad and the Ugly
Read the full story...
Posted in Trending Topics | Tagged 401k, 403b, Fee Disclosure Rule, Fiduciary Rule, Fiduciary Standard, fiscal cliff, IBM, match, Modern Portfolio Theory, mutual fund ratings, One Portfolio, pension, retirement, target date fund, tax
By Christopher Carosa, CTFA | July 9, 2012
Fixing the pension fund hole, FINRA tries to make “suitability” more like “fiduciary” and a plethora of article on 401k fees (as if you didn’t have enough already).
Read the full story...
Posted in Trending Topics | Tagged 408(b)(2), court ruling, DOL, ERISA, Fee Disclosure Rule, Fiduciary Standard, menu option, pension reform, public pension, suitability standard
By Christopher Carosa, CTFA | July 3, 2012
Any talk of mutual fund expense ratios only diverts attention away from the true issue at hand – what are the true costs of those non-mutual fund products that make up nearly half of all 401k investments?
Read the full story...
Posted in Fees | Tagged 12b-1, 401k, Carhartt, David Abbey, DOL, expense ratio, Fee Disclosure Rule, fiduciary, ICI, load, mutual fund, passive-active
By Christopher Carosa, CTFA | June 26, 2012
If a fee falls in the forest, will a 401k plan participant hear it?
Read the full story...
Posted in Fees | Tagged 408(b)(2), Allen Bronton, Andrew Gracan, Anne Comer, Carlos Panksep, CEFEX, Courtenay Shipley, DOL, Fee Disclosure Rule, Fred Reish, Richard Brealey, service provider, zen
FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 2/15/13
By Christopher Carosa, CTFA | February 19, 2013
How to prepare for a DOL Audit, SEC on the brink? and solutions looking for a problem.
Read the full story...Posted in Trending Topics | Tagged 4% rule, 401k, 408(b)(2), annuities, court ruling, Detroit Pension, DOL Audit, ERISA Breach, ETF, eTrade, Fee Disclosure Rule, fiduciary, Fiduciary Duty, Fiduciary Rule, Fiduciary Standard, IRA, retirement, ROTH 401k, SEC, trustee | Leave a response