Tag: Fee disclosure

IMHO: “After” Thoughts

The morning after last week’s mid-term elections, a plan sponsor friend of mine called me up and asked me what I thought it all meant.

SPARK Calls for SEC to Rexamine Proposed Rule

The SPARK Institute sent comments to the U.S. Securities and Exchange Commission (SEC) regarding the potential impact on retirement plan intermediaries due to the proposed rule regarding mutual fund distribution fees and confirmations.

Advisers Stepping Up to the Plate

Advisers are facing several new challenges in the “post-recession” climate, and many feel that they have to tackle these challenges on their own, according to a survey conducted by HNW.   

Former EBSA Secretary Questions Fiduciary Proposal

The former Assistant Secretary of the Department of Labor’s (DoL) Employee Benefit Security Administration (EBSA) said the fiduciary definition proposal by the DoL is addressing issues already addressed in recently issued fee disclosure regulations.

DoL Sues Money Managers over Madoff Losses

The U.S. Department of Labor (DoL) has accused four money management firms of violating their fiduciary duties by causing hundreds of millions of dollars in losses to pension and other benefit plans after placing their investments with Bernard Madoff.

IMHO: Paper “Trail”

Last week, the Department of Labor reissued its proposed regulation on participant fee disclosure. 

Decisions, Decisions

How did you decide whether to affiliate with a wirehouse, or independent or regional broker/dealer?

IMHO: Listening Post

With our PLANADVISER National Conference just one week away, I found myself turning back to my notes from the PLANSPONSOR National Conference in June.   


DoL Says Disclosure to Empower Participants

Fee disclosure rules are designed to “make sure everyone knows what they are paying for and how this affects plan balances,” according to Phyllis Borzi, Assistant Secretary of Labor of the Employee Benefits Security Administration (EBSA).

IMHO: “Thinking” Caps

While the spate of revenue-sharing suits has—for the moment, anyway—faded into the background, fees remain one of the most hotly debated topics in our industry.