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Tag "conflict of interest"

Exclusive Interview: Jerry Schlichter Says 401k Plan Sponsors Should ‘Peel The Onion’ On Fees

    Exclusive Interview: Jerry Schlichter Says 401k Plan Sponsors Should ‘Peel The Onion’ On Fees

“Industry participants also argue that the rule transforms one-off transactions into fiduciary relationships in violation of the common law, but the common law of the states is divided on this, and there is a need for a federal standard regulating investment advice fiduciaries.”

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Does The New Fiduciary Rule Really ‘Level The Playing Field’?

    Does The New Fiduciary Rule Really ‘Level The Playing Field’?

For all the good intentions, however, what will happen when the rubber finally meets the road? Will the new DOL Fiduciary Rule really level the playing field?

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The American Airlines ESG Fiduciary Case Exposed The Problem With Mandated Proxy Voting (And More)

    The American Airlines ESG Fiduciary Case Exposed The Problem With Mandated Proxy Voting (And More)

Herein lies the potential for a direct conflict of interest. This applies generally to all proxy voting in commingled portfolios.

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Exclusive Interview: Sheryl Garrett Says We Aren’t Doing Enough To Mitigate Conflicts-Of-Interest

    Exclusive Interview: Sheryl Garrett Says We Aren’t Doing Enough To Mitigate Conflicts-Of-Interest

I don’t think the plan service providers should provide participant advice. Advice to participants should be provided by a non-related third-party fiduciary.

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After Supreme Court Ruling, Are TDFs A Ticking Time Bomb Of Fiduciary Liability?

    After Supreme Court Ruling, Are TDFs A Ticking Time Bomb Of Fiduciary Liability?

The conflicts-of-interest inherent in selecting proprietary funds are apparent. Less so are the criteria used to determine what a suitable process might be.

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How Do You Prep For The Coming IRA Rollover Fiduciary Rule?

    How Do You Prep For The Coming IRA Rollover Fiduciary Rule?

In a nutshell, what was initially considered a “pick me because you like me” decision on the part of the prospect has been reframed as a “pick me because I sold you investments” decision. It’s a subtle distinction, but it drives the difference between a fiduciary act and a non-fiduciary act.

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Questions 401k Plan Sponsors Are Too Busy To Ask

    Questions 401k Plan Sponsors Are Too Busy To Ask

Here’s something you don’t always see, but maybe you should.

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When Do Index Funds Raise A Fiduciary Issue With 401k Plan Sponsors?

    When Do Index Funds Raise A Fiduciary Issue With 401k Plan Sponsors?

401k plan sponsors can’t afford to fall victim to the lure of heuristics. Index funds can generate just as much fiduciary headaches as actively managed funds.

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FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 10/19/18

    FiduciaryNews.com Trending Topics for ERISA Plan Sponsors: Week Ending 10/19/18

More regulatory silliness, Son of Fiduciary? and Looking for Mr. Low-Fee Bar.

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7 Rules Every Professional Fiduciary Must Follow

    7 Rules Every Professional Fiduciary Must Follow

These may not be the only rules, but they rank up there as among the most practical for fiduciaries and, in some cases, for any other professional.

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