Articles tagged "DOL"
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Why a reputation of shadiness persists in the financial advisory industry
Quite literally the truth never sees the full light of day -- and clients and quality advisors pay a price for it
September 30, 2013 at 5:15 PM
DOL credits itself for notable evolution in the 401(k) industry -- not without criticism
The sharks are circling after the Ayres letters caused a furor but one industry leaders says Labor's bureaucrats get a C-minus
September 9, 2013 at 6:38 AM
Legal analysis: Why the Yale 401(k) letters, limits aside, should raise an alarm to plan sponsors
Ayres may not have it all letter perfect but his basic points have a legal basis
August 19, 2013 at 5:27 AM
An X-ray of one affluent, educated and sophisticated investor's portfolio shows how it was chewed up by fees
Helping an ex-Fortune 500 retiree prepare for her appearance before Congress, the author waded through a mountain of paper only to discover that the woman was likely to outlive her portfolio
August 12, 2013 at 3:47 AM
An attorney explains where the 'trail goes cold' in PBS' 'Retirement Gamble'
Just where the line is between a legal and illegal 401(k) plan is important to know
May 21, 2013 at 5:52 PM
Why 408(b)(2) is a flop for the 401(k) business and how RIAs can turn it around
The disclosure requirement sat around so long that workarounds got developed and employers got comfortable in the boiling water
April 10, 2013 at 5:23 PM
Op-Ed: The fiduciary standard is in worse shape than it was four years ago
The teachable moment of Lehman's collapse seems to have dissipated, and forces of dissimilation are winning the day
January 11, 2013 at 4:41 AM
RIABiz' 10 most-read stories of 2012: What fascinated you and why
Facebook, fallout from DOL's new 401(k) regs and happenings at Advizent, Addepar and Windhaven were reader catalysts
December 26, 2012 at 4:44 PM
Obfuscation Nation: 401(k) fee disclosure laws still don't give the true cost of plans and may well cause more agita for would-be retirees
The new DOL rules are far from ideal but may give fee-based advisors an edge in the small-plan market
August 28, 2012 at 4:37 PM
A 401(k) plan dethroning deferred: The DOL-mandated disclosures may not set any legacy palaces on fire near-term
The expected RIA field day and B-D comeuppance may come limping out of the gate; Fidelity has put 17 million 401(k) disclosures in the mail with few follks batting an eye -- with high-balance participants as the possible big exception
August 28, 2012 at 3:33 AM
Before taking a self-imposed vow of silence, Ron Rhoades sounds off on the RIA industry and tells what's it's like to hit a professional wall
The outspoken NAPFA chairman-who-wasn't covers why the Bachus bill will rise again, the true fix for RIA exams and why the term 'fee-based' is inherently 'fraudulent'
August 27, 2012 at 3:33 AM
What to make of DOL's backtrack after John Kerry, Fidelity Investments and the rest of the riled 401(k) industry cried foul
The policy reversal on on self-directed accounts is a win for white-collar workers but the agency's mandating-by-bulletin was equally troubling to some observers
August 1, 2012 at 6:10 AM
New DOL rule effectively kills off open-architecture option favored by some big plan participants -- and sets off the 401(k) industry
The wrinkle aimed at self-directed accounts is seen as an unnecessary eleventh hour blindsiding by Fidelity, TD and the CFDD among a broad constituency
June 20, 2012 at 5:44 AM
After years of DOL bluster, new 401(k) rules appear to make RIAs' low expenses look higher than those of brokers
It's the same old problem of mutual fund-paid fees arriving by tunnel and therefore getting a pass in disclosures; DOL no-comments the issue
June 18, 2012 at 3:28 AM
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
