By Christopher Carosa, CTFA | February 19, 2013
How to prepare for a DOL Audit, SEC on the brink? and solutions looking for a problem.
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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 | 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 4, 2013
Borzi’s rise, crying brokers & the coming Fiduciary battle
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Posted in Trending Topics | Tagged 12b-1, 401k, 401k loan, ASPPA, Borzi, commission, DOL, ERISA, ESOP, fee, Fiduciary Standard, FSI, Gen X, Gen Y, IOSCO Report, IRA, MEP, Morningstar, pension, retirement, ROTH 401k, SEC, SRO
By Christopher Carosa, CTFA | January 23, 2013
When it comes to investor education, the SEC shouldn’t quit its day job.
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Posted in Education | Tagged FINFRA, Fraud, retirement, saving, SEC
By Christopher Carosa, CTFA | January 22, 2013
Proof retirees don’t want annuities, brokers try to make the fiduciary issue their issue and more bad investment decisions.
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Posted in Trending Topics | Tagged Annuity, David Wray, DOL, eTrade, Fiduciary Standard, FINRA, loans, pension, retirement, SEC, SIFMA, target date fund, U.S. Consumer Bureau
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 | October 30, 2012
Will the Fiduciary Standard and the DOL’s new Fiduciary Rule become collateral damage in a Romney victory?
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Posted in Opinion | Tagged 401k, Dodd-Frank, DOL, Duane Thompson, election, ERISA, Fiduciary Rule, Fiduciary Standard, Mary Shapiro, Phyliss Borzi, SEC, Tim Dyer
FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 2/22/13
By Christopher Carosa, CTFA | February 25, 2013
DC/DB confusion, the real fiduciary issue and a fee fight breaks out.
Read the full story...Posted in Trending Topics | Tagged 401k, conflict of interest, court ruling, DB, DC, DOL, eTrade, fee, fiduciary, pension, plan sponsor, profit sharing, retirement, Savings, SEC, target date | Leave a response