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Articles tagged "ERISA"


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Brendan Little: Litigation serves as an important deterrent by identifying and penalizing those service providers that are responsible for the egregious fees.
May 21, 2013 at 5:52 PM

 Jack Waymire: How are you supposed to recall the details of a conversation that took place three years ago?

9 ways RIAs can get a leg up by using a pillar of pension plans -- a written contract

Words and a handshake are well and good, but and IPS is forever, and your client will thank you for it

February 20, 2013 at 5:56 PM

Sheldon Geller: Fee-only advisors have, by their choice of compensation, eliminated most, if not all, conflicts inherent in the marketplace.

How RIAs can rule the 401(k) realm by becoming advocates for plan sponsors -- and start by eliminating eight marketplace conflicts

Brokers can still claim an edge with their knowledge of DC administrative matters but that's a bowling pin ready for the toppling

February 14, 2013 at 5:36 AM

Brian Davis: This isn't meant to be a deep dive, but to answer those yes and no compliance questions RIAs have on a day-to-day basis.

Scottrade proclaims itself the 'compliance custodian,' partnering with RIA In a Box and staffing a hotline with ex-regulators

But the mega-custodians are having none of it, saying the initiative is good as far as it goes, but lacks the horsepower to tackle the big questions

December 7, 2012 at 5:01 AM

Kevin Keller: We are business-model- and compensation-neutral, but all CFP professionals are required to put client interests ahead of their own.

The once underrespected CFP gets a lift after Merrill Lynch and now NAPFA make it central for newbies

Still, CFP certificants shoot down the idea of making the CEO credits requirements even harder, and fiduciary concerns linger

December 5, 2012 at 7:29 AM

Fred Reish: The object isn’t to punish people who really wanted to do the right thing.

Erring 401(k) plan advisors seek do-overs from DOL to ward off potentially crippling fines

A proposal from leading ERISA attorneys would let RIAs say mea culpa on misinterpretations and technical fouls in the wake of new fee disclosure rules

October 22, 2012 at 3:02 AM

Joe Masterson: It's always bugged me that passive investors weren't paying their fair share.

RIAs join move to right a 401(k) wrong: Lopsided plan expenses -- a non-DOL issue

Participants using mutual funds with active management pay for their passively managed brethren; with fiduciary issues being taken for real, this is a problem

September 20, 2012 at 5:01 AM

Sheldon Geller: Engaging non-fiduciary consultants and relying on their advice is not evidence of prudence.

9 things advisors to 401(k) plans must do to keep clients out of hot water

A wave of fiduciary lawsuits is creating new plan best practices

July 13, 2012 at 3:29 AM

Jason Roberts: The broker wants to make sure the advisor isn't taking the clients to lunch.

Why brokers from Nationwide, LPL, Merrill Lynch and others are giving RIAs a cut of their 401(k) action

RIAs and brokers alike are wary of the fox-in-hen-house effect but DOL is creating strange bedfellows

May 29, 2012 at 3:46 PM

Debbie Pritchard: Most of the advisors we're working with are all talking to us about becoming 3(38)s.

How Schwab is gearing up its RIAs to fight for 401(k) assets

The San Francisco custodian's deal with fi360 will help advisors meet increasing demand from employers that their advisors be fiduciaries

May 16, 2012 at 3:17 PM

Susan John: If no one is willing to advise the consumer of the $25K IRA, that’s a problem.

NAPFA's John responds to critic questioning her group's stance on compensation in light of new DOL rules

The national chair says the first objective is not to scare small investors away

April 3, 2012 at 2:55 AM

Phyllis Borzi: It’s quite common for an entity to be subject to multiple legal regimes.  ... It’s just the way things are.

A Q&A with Phyllis Borzi, the DoL powerbroker aiming to remake the retirement market

Borzi says she is pushing through Bush administration initiatives; her expansion of the fiduciary standard is drawing ire

March 8, 2011 at 3:24 PM

Don Trone: Plan sponsors want advisors who can lead the way.

7 things a financial advisor needs to know to succeed in the 401(k) business

Needy plan sponsors are green pastures for those with the right tools

February 23, 2010 at 6:17 AM

Knut Rostad: Both sides have a briefcase full of examples of times where they have been unfairly maligned and misunderstood

The Fiduciary Debate: Getting past the vested interests

Industry experts draw battle lines in defining fiduciary

September 25, 2009 at 5:28 AM

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