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By Christopher Carosa, CTFA | May 28, 2013
Does more DC talk mean less action? Slowdown, Fiduciary Standard, you move too fast, and more about investment bubbles.
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Posted in Trending Topics | Tagged 401k, Alternative Investments, Annuity, DOL, Elise Walter, ESOP, Fee Disclosure Rule, fiduciary, fiduciary liabilty, Fiduciary Rule, Fiduciary Standard, Fred Reish, lump-sum, Mary Jo White, pension, prohibited transaction, real estate, retirement, SEC, small business, Social Security
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 | February 12, 2013
Will the scandalous conclusions of this new research take the bloom off of the rose of the 401k plan?
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Posted in Conflicts of Interest | Tagged 401k, agency problems, Clemens Sialm, Elle Kaplan, ERISA, Fiduciary Standard, Gabriel Potter, investment menu, Irina Stefanescu, It Pays to Set the Menu, Paula Hendrickson, prohibited transaction, Robert Massa, SEC, self-dealing, Veronika Pool
By Christopher Carosa, CTFA | February 11, 2013
Americans to Gov: Don’t Tread on My 401k; Americans to Big Finance: Don’t Tread on My 401k; Americans to Markets: What, me worry?
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Posted in Trending Topics | Tagged 401k, commdity, Fidelity, fiduciary, fiduciary lawsuit, Fiduciary Standard, Florida state pension, IRA, pension, Plan Sponsor Magazine, prohibited transaction, retirement, Rollover, ROTH 401k, saving, self-dealing, stock drop, Suze Orman, trustee
By Christopher Carosa, CTFA | January 31, 2012
The adage you can’t serve two masters is as old as the Bible. So why are 401k plan sponsors making this mistake and why is the DOL allowing them to do so?
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Posted in Conflicts of Interest | Tagged 12b-1, best interests, directed broker, fee, Fiduciary Standard, liability, prohibited transaction, revenue sharing, Ron Rhoades, sole interests
FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 5/24/13
By Christopher Carosa, CTFA | May 28, 2013
Does more DC talk mean less action? Slowdown, Fiduciary Standard, you move too fast, and more about investment bubbles.
Read the full story...Posted in Trending Topics | Tagged 401k, Alternative Investments, Annuity, DOL, Elise Walter, ESOP, Fee Disclosure Rule, fiduciary, fiduciary liabilty, Fiduciary Rule, Fiduciary Standard, Fred Reish, lump-sum, Mary Jo White, pension, prohibited transaction, real estate, retirement, SEC, small business, Social Security | Leave a response