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Articles tagged "Cipperman Compliance Services"

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Fred Reish: Participants will be able to sue for plans that were selected for inclusion in the plan more than six years ago but haven't been removed from the plan within the last six years.

How 12(b)-1 fees and revenue sharing may be the real victims of Monday's 'narrow' Supreme Court ruling

By unanimous decision, a conservative nine showed no tolerance for retail mutual fund share classes that achieve such status with fat fees that directly or indirectly pay 401(k) administration freight

May 20, 2015 at 4:18 PM
Daniel Bernstein: If an advisor posted that they 'held a great meeting on 401(k) plans,' and someone 'liked' it, it could be construed as a testimonial.

SEC sends sharp warning to advisors using social media

RIAs have to make sure they don't get 'liked' on popular websites like Facebook

January 6, 2012 at 3:20 PM
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