Displaying 125 results
Giving due diligence its due
Financial advisers to retirement plans need to recalibrate their thinking about Section 408(b)(2) of the Employee Retirement Income…
Fiduciary standard doesn’t raise costs: Study
A new study out of Texas Tech University casts significant doubt on brokerage industry claims that the fiduciary…
Why advisers aren’t true professionals
Financial advisers can learn a valuable lesson from accountants about professionalism and adherence to a fiduciary standard.
Leveraging retirement fee disclosure rules
After more than four years in the making, the Labor Department’s “new” Section 408(b)(2) disclosure rule is finally…
Using employer stock in qualified plans
In the best of times, both retirement plan participants and sponsors can benefit from the inclusion of employer…
High standards are needed for those we trust
Trusting people carries risks. Finding better ways to mitigate and manage these risks is a continuing challenge for individuals, institutions and society at large. Sometimes, however, the best learning opportunities arise when trust breaks down
New concerns for retirement plan providers
For providers of financial services to Employee Retirement Income Security Act of 1974 plans, fees are a double-edged sword
Proxy voting lets fiduciaries use power
Proxy voting is one of the most powerful but underutilized tools that fiduciaries have to serve the best…
Fiduciary foes: Don’t count your chickens
When Republican members of the House Financial Services Committee warned the Securities and Exchange Commission to halt the process of fiduciary rule making, it was a pretty blatant signal that the stage has been set for a courtroom showdown
DOL plugs a yawning gap in ERISA rules
There is a gaping hole in ERISA regulations that allows many investment service providers to escape fiduciary accountability for the advice that they provide to retirement plan sponsors and participants
Taking their cue from Congress
I think I found the model for how opponents of the fiduciary standard hope to render the standard meaningless after financial regulatory reform
The CFP Board is right on ethics
Reactions to the Certified Financial Planner Board of Standards Inc.'s new requirements for ethics continuing-education programs have been mixed
Cultural changes overshadow reform
A shift in culture for investment advisers is overtaking regulatory reform in scope and significance
Marketing yourself as a fiduciary
The fiduciary standard is all about serving the best interests of investors
Not delivering on your promises is costly
“Well done is better than well said,” was Benjamin Franklin's wisdom on accountability
Where does advisory industry go from here?
Without the unequivocal support of all the members of the Securities and Ex-change Commission, just how much can we learn about the future direction of the regulation of investment advice from the two SEC studies that were released last month?
Rule change takes aim at ‘schlocky advice’
Last month, the Department of Labor proposed to expand the definition of the term “fiduciary” under the Employee Retirement Income Security Act of 1974
Review the process, not just performance
At this time of year, investment stewards — retirement plan sponsors, and managers and trustees of charitable organization investment committees — are receiving 2010 year-end investment performance reports and poring over them to prepare for their first 2011 meetings with their advisers and money managers
An adjustment is coming for reps
For some time now, there has been a net outflow of advisers from broker-dealers to investment advisory firms
‘Buyer beware’ is no basis for a fiduciary rule
What is the purpose of disclosing a conflict of interest? The answer de-pends on whether a financial adviser is a fiduciary.
