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Tag "SEC"

What Should 401k Plan Sponsors Do Now That The Fiduciary Rule Has Been Stayed?

    What Should 401k Plan Sponsors Do Now That The Fiduciary Rule Has Been Stayed?

The relative quickness of this one-two shot from the District Courts suggests an obvious flaw in the new Rule.

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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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These Classic Movies (Unknowingly?) Promote The Fiduciary Standard

    These Classic Movies (Unknowingly?) Promote The Fiduciary Standard

It seems like each decade produces a major box office hit that exudes fiduciary. This whole “best interest” thing seems to have caught on in Tinseltown. More recent movies have added a good dose of the “honesty” part of fiduciary.

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401k Plan Sponsors Must Be Wary Of Fiduciary Liability Associated With Bitcoin ETFs

    401k Plan Sponsors Must Be Wary Of Fiduciary Liability Associated With Bitcoin ETFs

Plan sponsors need to think about it in these terms: Does it make sense to have a pork-belly ETF on a 401k investment menu? How about orange futures?

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What 401k Plan Sponsors Should Do About ‘Lost’ Participants

    What 401k Plan Sponsors Should Do About ‘Lost’ Participants

The DOL’s guidance on missing plan participants appears just as effective as its week 2012 Mutual Fund Fee Disclosure Rule. Yes, it’s there, but it has no viability. Still, that doesn’t mean 401k plan sponsors can ignore the issue, even if they have not lost participants.

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Why Is ‘Fiduciary’ Losing Its Luster?

    Why Is ‘Fiduciary’ Losing Its Luster?

Back then, at least, we knew who wore the white hats and who whore the black hats. Today, thanks to muddled and often conflicting regulations for multiple agencies, everyone is wearing fifty shades of gray.

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Have The DOL’s Fiduciary Efforts Made Things Worse?

    Have The DOL’s Fiduciary Efforts Made Things Worse?

Let’s not just blame certification providers. Government agencies responsible for monitoring and enforcement are also responsible for market confusion and the dilution of the “fiduciary” standard.

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Exclusive Interview: Harold Evensky: Reg BI ‘Makes Absolutely No Sense’

    Exclusive Interview: Harold Evensky: Reg BI ‘Makes Absolutely No Sense’

“I was [once] a major skeptic of the use of annuities, I have subsequently changed my mind regarding the efficacy of low-cost fixed and variable annuities in both personal and retirement accounts.”

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5 Key Due Diligence Differences Between Analyzing CIT Risks And Analyzing Mutual Fund Risks Every 401k Fiduciary Must Know

    5 Key Due Diligence Differences Between Analyzing CIT Risks And Analyzing Mutual Fund Risks Every 401k Fiduciary Must Know

Today, in reading some of the headlines, you’d think they’re greater than sliced bread. They may be. They may not be. Still, there are differences, and 401k plans sponsors would benefit from practicing the utmost in due diligence when determining if CITs are the right fit for their plan.

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Exclusive Interview: Luis Aguilar On SEC/DOL Harmonization And Continuing Fiduciary Confusion

    Exclusive Interview: Luis Aguilar On SEC/DOL Harmonization And Continuing Fiduciary Confusion

“Perhaps the continued confusion can be expected given that the term ‘best interest’ is not defined in Reg BI and the word ‘fiduciary’ is not used in defining the new standard. It makes it harder to understand.”

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