Conflicts of Interest
As Industry Takes Sides in SEC 12b-1 Debate, Will 401k Plan Sponsors Benefit?
As industry players take predictable sides, will 401k plan sponsors benefit from seeing how the sausage is made?
Official SEC 12b-1 Fee Press Release – Regulator Seeks Public Comment (UPDATED)
The Official press release provided by the SEC asking for public comment.
Exclusive Comments from Industry Insiders Suggest Fin-Reg’s Fiduciary Standard May Impact 401k Plan Sponsors
The adoption of a universal fiduciary standard may greatly impact how their plans operate. You might be surprised to hear what industry insiders are saying about it.
Yale/Harvard Study Reveals Disturbing 401k Fee Paradox
If the DOL requires the 401k plan fiduciary to ignore a fund’s investment performance, but the SEC still requires funds to disclose that performance, which will 401k investors choose? More importantly, who’s left holding the liability bag?
401k Fees That Shouldn’t Matter
Should indirect fees matter? Academics may argue, but regulators will have the final say. Unfortunately, different definitions of fees only confound the ERISA fiduciary.
401k Fees That Matter
Too many accept the definition of “fees” without deliberation. Yet, even by looking solely at the fees associated with investment choice, the fiduciary can land in a state of confusion. This only increases liability. How can we fix this?
3 Terrible Problems the New DOL Investment Advice Rule Poses to the 401k Fiduciary
Under the DOL’s proposed Investment Advice Rule, if a plan enters into a prohibited relationship with a vendor – or if an existing relationship now becomes prohibited – fiduciary liability rises. Can the 401k fiduciary afford to ignore these critical issues?
3 Great Ways the New DOL Investment Advice Rule Helps the 401k Fiduciary
Are you breathing a sigh of relief? Commentators seem to have coalesced around several key benefits of this proposed Rule. Can you see these helping your plan’s participants?
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