By Christopher Carosa, CTFA | September 20, 2010
Find out what big PR push a certain sector of the financial industry started this week. Here’s a hint: You can thank Washington.
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Posted in Trending Topics | Tagged 12b-1, 401k, 401k match, Annuity, Fees, fiduciary, Fiduciary Standard, liability, pension, target date fund
By Christopher Carosa, CTFA | September 12, 2010
What happened while you were taking Labor Day week off – whether to see the beach or to catch up on your busy workload?
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Posted in Trending Topics | Tagged 401k Day, Annuity, company stock, court ruling, Fees, fiduciary, Fiduciary Standard, Swenson, target date fund, trending topics, Yale
By Christopher Carosa, CTFA | September 6, 2010
From the Edsel of the mutual fund industry to the “do they really expect us to believe this” of the Fiduciary Standard war to a series of decisions in fiduciary lawsuits, discover the past weeks trending topics.
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Posted in Trending Topics | Tagged 12b-1, 401k, ERISA, Fees, fiduciary, fiduciary lawsuit, Fiduciary Standard, investment, plan sponsor, target date fund, TDF
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 21, 2010
These three issues linger like a ticking time bomb. They’re out there. They’re going to go off at some point. We just don’t know when. Plan fiduciaries need to get ready for them.
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Posted in Education | Tagged 12b-1, 401k, Conflicts of Interest, Department of Labor, Education, ERISA, Fees, fiduciary, Fiduciary Solutions, Fiduciary Standard, Investment Advice Rule, Plan Diagnostic, SEC
By Christopher Carosa, CTFA | June 15, 2010
These next three months may prove a watershed for 401k plan sponsors as new rules will dramatically alter how 401k plan sponsors manage their companies’ retirement plans.
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Posted in Education | Tagged 12b-1, 401k, Conflicts of Interest, Congress, Department of Labor, DOL, ERISA, Fees, fiduciary, Fiduciary Standard, Investment Advice Rule, liability
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 | June 1, 2010
If the DOL requires the 401k plan fiduciary to ignore a fund’s investment performance, but the SEC still requires funds to disclose that performance, which will 401k investors choose? More importantly, who’s left holding the liability bag?
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Posted in Fees | Tagged 401k, DOL, Fees, fiduciary, Index Funds, Investment Advice Rule, SEC
Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 10/22/10
By Christopher Carosa, CTFA | October 25, 2010
Just as we get the fallout from the new DOL fee disclosure rule, the DOL hits 401k Plan Sponsors with another whammy – a new definition of Fiduciary.
Read the full story...Posted in Trending Topics | Tagged 401k, behavioral economics, court ruling, disclosure, DOL, Fees, fiduciary, pension | Leave a response