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Investment Advisor January 2007 Ken Ziesenheim	The Other Fiduciary Issue Many members of company retirement plan investment committees are not fully aware of the nature of their fiduciary responsibilities.
HRO Today Heller & Della Torre	Audits of Outsourced Retirement Plans Relying on CPAs to turn up potential issues now is a better alternative than for plan participants or the IRS to discover shortcomings.
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.
CFO Kris Frieswick	Prudent Man With A Plan Most 401(k) reforms before congress don't address a critical source of risk: fiduciary duty.
Financial Planning April 1, 2010 Donald B. Trone	Step One: Analyze Regardless of when a fiduciary standard is implemented and whichever group is assigned to monitor it, one thing is certain: You will need to build an investment management process that meets a higher standard of care.
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.
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.
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.
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 May 2007 Ken Ziesenheim	Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig.
Financial Advisor August 2006 Joel Bruckenstein	First Look At Advisors Office The developers have laid a solid foundation upon which additional functionality can be layered. If and when this occurs, Advisors Office will be an interesting proposition for an office of perhaps three to ten employees, provided the pricing is well aligned with the functionality being offered.
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.
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.
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.
Investment Advisor April 2008 Melanie Waddell	401(k) Participants Can Sue Advisors should take heed, as a high court rules in favor of 401(k) participants; will a torrent of similar lawsuits ensue?
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.
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.
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 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.
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.
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 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.
Investment Advisor June 2006 Ken Ziesenheim	Expert's Corner: Playing Offense with an IPS A written Investment Policy Statement (IPS) can help build your financial advisory practice in surprising ways.
CFO May 1, 2011 David McCann	A Sense of Disclosure New 401(k) rules pose a challenge for small and midsize companies.
Financial Advisor December 2008 Janet Aschkenasy	Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors.
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.
CFO May 15, 2012 David McCann	Will These Investments Catch On? Why the government's proposals for encouraging "longevity annuities" may not impress many 401(k) plan sponsors.
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.
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.
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.
Investment Advisor May 2007	That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections...
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.
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.
On Wall Street November 1, 2011 Alan J. Foxman	The Uncooperative Client Questions about negligent clients, trademarks, and email archiving are discussed.
Financial Advisor September 2007 Joel Bruckenstein	File Trials Today's regulatory, legal and security environments demand a more robust document management solution and financial advisors who downplay these issues may find themselves doing so at their own risk.
Investment Advisor September 2007	News & Products Participants who consistently held accounts in 401(k) plans from 1999 through 2006 increased their account balance at an annual rate of 8.7%... Rep. George Miller, chairman of the House Education and Labor Committee, introduced the "401(k) Fair Disclosure for Retirement Security Act of 2007"... etc.
Financial Planning November 1, 2011 Donna Mitchell	The 411 on 401(k)s Retirement planning is no simple task - but it just got a little easier. A growing number of specialized firms have started digging deep into retirement plan documents to unearth competitive details about how the plans work.
OCC Bulletin June 1, 2006	Interagency Agreement on ERISA Referrals The agreements facilitate the information-sharing process among employees of the banking regulators and Department of Labor.
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.
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 November 2010 Alan Lavine	New Opportunities With 401(k)s Participants are making asset allocation mistakes, even though most plans offer a good selection of investment options.
Investment Advisor February 1, 2011 Dan Skiles	Building an Efficient Document Imaging Strategy The good news regarding document imaging and management is that most advisors are already storing some of their documents electronically. The challenge for advisors is making sure that they have the right system in place for their firm.
Investment Advisor July 2010 Melanie Waddell	Retirement Planning: Discord With DOL Squabbing over proposed final 401(k) advice rules.
Financial Planning August 1, 2010 Donald B. Trone	Step Four: Implement In this segment in our series, we are examining the steps of a traditional investment management process and demonstrating how a principles-based fiduciary standard can be incorporated into the process.
Registered Rep. November 21, 2010 Michael Stillman	Bundled 401(k)s May Be Ripping Off Your Clients You can help your plan sponsors -- and potentially their plan participants -- by guiding them through the pros and cons of bundled vs. unbundled services.
Financial Advisor November 2011 Jerilyn Klein Bier	Best-Laid Plans Advisors who've built substantial 401(k) practices share their strategies.
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.
The Motley Fool June 22, 2006 Dan Caplinger	Where's My Money? What to do when your fiduciary isn't getting the job done. In any situation involving potential or actual conflict, you need to know your rights. Taking action to enforce your rights is the best way to ensure that you receive the treatment you deserve.
Investment Advisor March 2007 Melanie Waddell	Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients.