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Investment Advisor
December 2009 |
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts.   |
Financial Planning
January 5, 2008
Elizabeth O'Brien |
The New Fiduciaries LPL and Fiduciary360 educate advisors on retirement consulting in the Pension Protection Act of 2006 era. |
CFO
Kris Frieswick |
Prudent Man With A Plan Most 401(k) reforms before congress don't address a critical source of risk: fiduciary duty. |
On Wall Street
March 1, 2010
Bo Bohanan |
Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident. |
Investment Advisor
September 2006
Ken Ziesenheim |
Expert's Corner: The Fiduciary Audit File How to help clients who are themselves fiduciaries: Establishment of a fiduciary audit filing system is your best defense, and constitutes a best practice for fiduciaries. |
Financial Planning
September 1, 2013
Ilana Polyak |
For Advisors, a Big 401(k) Opportunity As regulatory scrutiny of plans increases, advisors are in the sweet spot to capture new business. |
On Wall Street
April 1, 2010
Trone & Harvey |
Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest. |
Financial Planning
February 1, 2011
Donald B. Trone |
12 Steps to the Future If you have never prepared a checklist to evaluate your practice, 2011 is the time to start. You'll need to know your strengths and weaknesses as advisors in what promises to be an interesting year. |
Financial Advisor
May 2008
Marla Brill |
Under Pressure Financial advisors who provide services to businesses with 401(k) plans governed by the Employee Retirement Income Security Act have a new reason to review fiduciary practices and double-check professional liability insurance. |
Financial Planning
November 1, 2010
Trone & Harvey |
The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require. |
Financial Advisor
December 2008
Janet Aschkenasy |
Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors. |
Registered Rep.
April 1, 2007 |
Confronting the F Word Experts suggest that reps who ultimately become fiduciaries will require additional training. Simply holding various series licenses is probably not going to cut it. There are now more options than just a few years ago. |
Financial Planning
September 1, 2008
Blaine Aikin |
New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides. |
Financial Advisor
March 2012
Juliette Fairley |
More 401(k) Avenues Demand is increasing for advisors who can help companies with their retirement plans. |
Financial Advisor
May 2007
Ken Ziesenheim |
Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig. |
On Wall Street
September 1, 2012
Elizabeth Wine |
Financial Advisors Turn to the 401(k) Market for More Business Advisors look to 401(k) plans as fertile ground for business. |
Investment Advisor
April 2007
James J. Green |
Retirement Planning Balancing Act Being a financial advisor who focuses on selling and servicing corporate 401(k) plans is a matter of balance. |
CFO
December 1, 2011
Russ Banham |
Lifting the Lid on 401(k) Fees The coming mandatory disclosure of plan fees could give participants a nasty shock. |
Registered Rep.
July 8, 2010
Michael Stillman |
For 401k Advisors, Comp Models Must Change In the short-term, financial advisors will need to adjust their 401(k) fee arrangements. For the long-term, registered reps may find it necessary to work with -- or become -- registered investment advisors. |
Financial Planning
April 1, 2012
Donna Mitchell |
The BIG Fix Familiar as 401(k)s are, planners love to hate them, and they'll readily cite long lists of faults with the plans themselves, as well as the way the $2.8 trillion 401(k) industry operates. |
CFO
May 8, 2006
Randy Myers |
Drawing a Bead on Cost A clearer picture of 401(k) plan fees is helping more plan providers drive down costs. |
Financial Advisor
June 2011
Jerilyn Klein Bier |
Tapping 401(k) Opportunities Financial advisors in the 401(k) space are optimistic about future prospects in a shifting regulatory landscape. |
Financial Advisor
August 2007
Ken Weber |
What You Don't Know Can Hurt You As a financial advisor, you may deal with or be asked to comment upon retirement plans for your clients. Increasingly, it is becoming clear that you have a fiduciary duty -- in spirit, if not in fact -- to assist your clients in uncovering all the fees involved with their plan. |
Financial Advisor
December 2009
Mary Rowland |
Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight. |
Investment Advisor
March 2007
Saxon & Breyfogle |
DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models. |
Investment Advisor
March 1, 2011
Kathleen Mcbride |
SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators |
Registered Rep.
November 1, 2005
Kristen French |
Trolling for 401(k) Treasure Congress is expected to enact new pension legislation that would make it easier for financial advisors to work with participants in company retirement programs. |
On Wall Street
January 1, 2011
Steve Garmhausen |
DOL: Advice Rules To Get Tougher The Department of Labor is poised to toughen rules for consultants and advisors that serve retirement plans, as past industry practices have fallen under new scrutiny. |
Registered Rep.
October 1, 2006
John Churchill |
Deciphering the Rules of Retirement Advice Title VI of the the Pension Protection Act, far from being a clear-cut signal for reps to dive into the retirement advice business, does, however, open the door wider to advice giving. |
Financial Planning
July 1, 2013
Glenn G. Kautt |
For Fiduciary Advisors, the Courts Are Watching For fiduciary advisors, a decision by federal judges finding mismanagement of a company s 401(k) plan could have far-reaching consequences. |
On Wall Street
August 1, 2012
E. Thomas Foster Jr. |
Reviewing Retirement Plans Can Reduce Risk In the retirement plans marketplace financial advisors can provide tremendous value for business owners by reviewing the inner workings of 401(k)s and other defined contribution retirement plans for potential risks and overall effectiveness. |
Financial Advisor
November 2011
Jerilyn Klein Bier |
Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies. |
Financial Planning
October 1, 2011
Donna Mitchell |
Doubling Down When the SEC recommended last January that brokers and investment advisors operate under a uniform fiduciary standard of care when dealing with clients, the decision seemed to validate, at last, what many industry groups and fiduciary advocates had been saying for years. |
Investment Advisor
February 2007
Melanie Waddell |
Clear Road Ahead Commonwealth's retirement platform, Preferred Portfolio Services Retirement Solutions, keeps financial advisors compliant with ERISA and PPA. |
Financial Planning
December 1, 2009
Kristina Fausti |
Fiduciary Q and A Most advisors are still not clear on the issues regarding a fiduciary standard. Here are some Qs and As on the subject. |
Financial Planning
April 1, 2011
Donald B. Trone |
Costly Decisions Many people think a fiduciary must select the lowest-cost service provider or lowest-priced basket of goods and services for clients. Not so. |
Financial Advisor
November 2012
Jerilyn Klein Bier |
No More Secrets New 401(k) fee disclosure rules could generate big opportunities for advisors. |
Financial Planning
December 1, 2010
Trone & Harvey |
Get Smart When the U.S. Department of Labor speaks, we should listen, whether we work with qualified retirement plans or not. The DOL made several announcements in October that are going to be significant game changers for the financial services industry. |
Financial Planning
September 1, 2010
Trone & Harvey |
Sweet Harmony Industry and regulators can feel comfortable that a fiduciary standard need not be cumbersome, but should, when properly crafted, significantly improve how investment decisions are prudently managed. |
Financial Planning
November 1, 2009
Donald B. Trone |
Restoring Trust Fiduciary responsibility is based on trust, whether it is formally and legally defined or simply conveyed by the level of confidence one party has in another. |
CFO
December 1, 2009
Randy Myers |
A Question of Balance The much-maligned 401(k) plan is being beefed up. So are the penalties for failing to manage it well. |
Investment Advisor
October 2006
Melanie Waddell |
Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards. |
Financial Advisor
September 2006
David L. Lawrence |
A Fiduciary Practice For financial advisory firms, operational challenges come with offering advice. |
Investment Advisor
November 2006
Melanie Waddell |
Watch Those Fees! The Department of Labor gets tough on retirement plan fee disclosure. Financial advisors, take note. |
Registered Rep.
May 26, 2005
Kristen French |
Under ERISA, No Padding Profits with Revenue Sharing Under a recent Department of Labor directive, revenue-sharing arrangements between mutual funds and advisors to employee benefit plans can no longer be used to pad profits. |
Investment Advisor
October 2008
Melanie Waddell |
DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts. |
Investment Advisor
February 2007
Savita Iyer |
Taking Advantage of the Pension Protection Act Financial advisors need to understand fully what the Pension Protection Act means and how it pertains to their business. |
Registered Rep.
July 24, 2012
Jerry Gleeson |
Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations. |
On Wall Street
February 1, 2013
Kenneth Corbin |
Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year. |
Investment Advisor
April 1, 2011 |
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard |
