Fiduciary News

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Posts From Christopher Carosa, CTFA

Have 401k Plan Sponsors Framed Employees?

A special treat for those who attended my fi360 conference session.

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Exclusive Interview with fi360’s Duane Thompson: Dual Registration’s Impact on the Fiduciary Standard

In many ways, the fallout of the Merrill Rule made this debate what it is today.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 4/20/12

Retirees dodge a Washington Bullet, the fiduciary debate heats up, a look into the future with future disclosure and the beginning of the end of Modern Portfolio Theory?

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Will Broker Evolution Obviate the Fiduciary Standard Debate?

The anti-fiduciary standard tirade may merely be the tired last gasps of a once thriving business model.

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Is Dual Registration the Cause of Opposition to the Fiduciary Standard?

Did a Clinton-era misguided quid pro quo, ultimately approved during the Bush administration, lead to the house of cards we see today?

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 4/13/12

The SIFMA has no Clothes, the next investment fad and “Are you Ready for some Fee-Ball?”

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Stunning Academic Study May Cause DOL to Retain Original Proposal for Fiduciary Definition

To the extent regulation improves efficiencies, there will always be winners and losers. Those who don’t benefit will always oppose the change.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 4/6/12

In a week that we featured Investment Due Diligence for 401k plans, a major court ruling shows what happened without such due diligence.

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The Checklist for the Ideal 401k Investment Due Diligence Process

Thousands and thousands of words based on dozens of interviews summarized into a ten-item checklist. But, due diligence is like a river. It’s constantly moving, constantly changing.

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The Ten Commandments of Selecting a Mutual Fund as a 401k Option

We trust this represents a Decalogue possessing both credence and compatibility. Not only does it make sense to use, but the vast majority of plan sponsors can easily adopt each category of scrutiny.

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