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By Christopher Carosa, CTFA | February 20, 2013
A talking baby is cute, but is this a case of the pot calling the kettle black?
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Posted in Fees | Tagged 12b-1, Alexey Bulankov, David Rae, Dean Bahniuk, eTrade, hidden fees, Maxime Rieman, revenue sharing, Roger Wolhner
By Christopher Carosa, CTFA | November 5, 2012
A new 401k revolution? Fiduciary auditions at the SEC? Asset allocation a dinosaur?
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Posted in Trending Topics | Tagged 12b-1, 401k, ASPPA, Asset Allocation, auto-enrollment, court ruling, DOL, fiduciary, Fiduciary Rule, Fiduciary Standard, IRA, retirement, revenue sharing, SEC
By Christopher Carosa, CTFA | May 7, 2012
The DOL plans to turn up the heat, states look for alternatives to pensions, politicians spout lobbyist talking points, and is the end near for revenue sharing?
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Posted in Trending Topics | Tagged Annuity, ASSPA, Congress, DOL, ETF, Fee Disclosure Rule, Fiduciary Rule, Fiduciary Standard, index fund, pension, revenue sharing, SIFMA
By Jonathan Leidy, CFP® | March 27, 2012
A simple example shows how liability can increase when using 12b-1 and revenue sharing fees.
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Posted in Fees | Tagged 12b-1, bundled providers, fee purity, fee transparency, revenue sharing, share class
By Christopher Carosa, CTFA | February 7, 2012
Lesson: Always read the fine print. If it’s too good to be true, it usually is.
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Posted in Due Diligence | Tagged Ascensus, broker sold, bundled providers, direct buy, Fiduciary Standard, Harold Evensky, Jan Sackley, John Bogle, Jonathan Leidy, Jonathan Reuter, Linda Wolohan, Michele Suriano, revenue sharing, Ron Rhoades, Vanguard
By Christopher Carosa, CTFA | February 6, 2012
This was the week we were all waiting for from the DOL. What we didn’t expect was the surprise from the IRS and the bipartisan agreement from two former SEC chairmen.
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Posted in Trending Topics | Tagged 401k, 403b, Annuity, DOL, Fee Disclosure Rule, Fiduciary Duty, Fiduciary Standard, Harvey Pitt, Index Funds, IRS, Pat Burke, pension, revenue sharing, Ron Rhoades, SEC, stable value, Swensen, target date fund, TDF, Yale
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 11/2/12
By Christopher Carosa, CTFA | November 5, 2012
A new 401k revolution? Fiduciary auditions at the SEC? Asset allocation a dinosaur?
Read the full story...Posted in Trending Topics | Tagged 12b-1, 401k, ASPPA, Asset Allocation, auto-enrollment, court ruling, DOL, fiduciary, Fiduciary Rule, Fiduciary Standard, IRA, retirement, revenue sharing, SEC | Leave a response