12b-1
FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 1/13/12
More bad news for Target Date Fund fans and fans of the Fiduciary Standard, but DOL stands firm on Fee Disclosure Rule timing.
Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 9/2/11
As the fight shift from adopting a fiduciary standard to redefining “fiduciary,” we learn the fee-counters might be counting the chickens before they’re hatched.
Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 6/10/11
How many different ways can you mention “passive investing” in an article relating to 401k plans? It seems like reporters had a theme last week – and it showed up in the strangest of places.
Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 6/3/11
Just as a major brokerage firm begins to yield on its opposition to the fiduciary standard, the co-author of the bill compelling the SEC to look into it tells the regulator to lay off brokers. And that’s only the beginning. We’ve also see cracks in the cult of ETF (or is it indexing?).
Fiduciary News Trending Topics for ERISA Plan Sponsors: Week Ending 5/27/11
It was a bad week for fans of pensions, ETFs and annuities. At least we had Babe Ruth to save us.
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.
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?
DOL Fiduciary Hearings: Why 401k Plan Sponsors Need to Pay Attention
Since no individual 401k plan sponsors seem interested in testifying at a hearing about an issue intended to protect them, we’ve provided three possible outcomes from the DOL Fiduciary hearings and their implications for 401k plan sponsors.
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