Articles tagged "ERISA"
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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
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
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
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
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
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
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
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
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
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
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
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
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
The Fiduciary Debate: Getting past the vested interests
Industry experts draw battle lines in defining fiduciary
