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Tag "SEC"

Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 11/4/11

Featuring a lot of investment talk, from more mourning on TDFs to the Dark Side of behavioral finance.

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 10/21/11

The pendulum again swings in favor of the fiduciary standard as the DOL threatens to come after service providers regarding questionable fees. In the meantime, the battle between Modern Portfolio Theory and Behavioral-based solutions gets hotter.

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3 Ways 401k Plan Sponsors Can Help Employees Make Better Investment Decisions

The research has been around for more than a decade. Why do regulators and the industry ignore it?

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 9/16/11

Has the SEC screwed the pooch regarding the uniform fiduciary standard? Will the same politics infect the DOL’s proposed Fiduciary Rule and Fee Disclosure Rule?

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Time for SEC’s Schapiro to Resign?

A Play-by-Play citing media articles throughout the year showing how SEC Chair Mary Schapiro misplayed her strategy to hold the fiduciary standard hostage for more Congressional money.

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 7/01/11

It’s a tale of two regulators. One wants to play politics while the other wants to accomplish something. Meanwhile, ETFs continue to get mixed reviews.

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 5/13/11

What popular investment products appears poised to be the next one to self-destruct? A strange occurrence in Washington bodes ill for the Fiduciary Standard – but does it really matter? Meanwhile, we learn the costs of two generations of lost public pension policy – from a third world country!

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 5/6/11

The SEC finally admits 12b-1 is a priority, The Wall Street Journal finally explains why ETFs might not be ready for prime-time and InvestmentNews finally reveals why many financial advisers won’t be impacted at all by a uniform and stronger fiduciary standard. Still, there’s one article that sets all we’ve learned the past forty years so far back you won’t believe it.

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Fiduciary Standard: Backdoor Solution to 401k Plan Sponsors’ 12b-1 Problem?

On the one hand SEC Chairman Shapiro wants to “put the client first.” On the other hand, she delays addressing a conflict of interest research has shown to hurt investors. Is there a method to this madness?

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Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 3/18/11

Just as the problems with Target Date Funds go mainstream, the GAO asks the DOL to look into disclosure rules that could torpedo annuities in 401k plans. Oh, and the House calls the SEC’s bluff.

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