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- Suits aimed at recovering subprime investment losses could shape adviser roles
- Once the scope of the subprime mortgage crisis became clear, a number of pension and 401k plans with assets invested in subprime mortgage obligations filed lawsuits to recover their losses. They cite a provision of ERISA that holds fiduciaries liable for losses resulting from a breach of fiduciary responsibilities. Additional...
- Research articles 2008-09-01
- Commentary: Dept. of Labor wants a better consumer
- On July 23, the Department of Labor DOL released its proposed rules for "Fiduciary Requirements for Disclosure in Participant- Directed Individual Account Plans." Try saying that three times fast. The long and short of this 32-page document is the latest in regulation aimed at...
- Research articles 2008-08-25
- Retirement disclosure presents challenges, Opportunities
- New retirement rules are in the works that would affect retirement plan advisers. With changes rolling though Congress, the Department of Labor and the Securities and Exchange Commission the question isn't "if" it's "when" changes will occur. It seems all changes are directed at more disclosure on the part of...
- Research articles 2008-08-01
- Legal Opinions - U.S. 4th Circuit Court of Appeals: June 30, 2008
- 4th Circuit Court of Appeals Criminal Law Probable cause for a search warrant BOTTOM LINE: District court properly found warrant was properly issued where police officer's omissions in warrant affidavit were not material to finding of probable cause. ...
- Research articles 2008-06-30
- Commentary: Retirement funds: Proposed fee disclosures
- In the radio series "The Hitchhiker's Guide to the Galaxy," the great super computer, Deep Thought, is asked the Answer to the ultimate question of life, universe and everything. After 7.5 million years of computing, Deep Thought comes up with the answer: 42. In December 2007, the Department...
- Research articles 2008-05-14
- U.S. Labor Department Proposes Regulations to Increase Disclosure of Fees and Conflict of Interests Affecting 401(K) and Other Employee Benefit Plans
- To: NATIONAL EDITORSContact: Gloria Della, +1-202-693-8664, or Richard Manning, +1- 202-693-4676, both of the U.S. Department of Labor WASHINGTON, Dec. 12 /PRNewswire-USNewswire/ -- The U.S. Department of Labor today announced a proposed rule that will enhance disclosure to fiduciaries of 401k and other employee benefit plans to assist them in...
- Research articles 2007-12-12
- The Dual Reality
- Before long, in a response that is as predictable as the sun's rise, the lobbyists and attorneys of wirehouse firms are going to visit those Congressional representatives whose reelection coffers they so generously fill, and tell them a very sad story. They'll say that the SEC and the courts are...
- Research articles 2007-09-01
- Consent Order Restores $3.5 Million, Appoints Independent Fiduciaries and Replaces Most Trustees to Plumbers Local 38 Employee Benefit Plans
- To: LABOR EDITORSContact: Gloria Della of U.S. Department of Labor, +1-202-693- 8664, +1-202-693-4676 SAN FRANCISCO, Aug. 17 /PRNewswire-USNewswire/ -- A consent order resolving a U.S. Department of Labor lawsuit places control of five employee benefit plans sponsored by Local 38 of the United Association of Plumbers, Pipefitters and Journeymen of...
- Research articles 2007-08-17
- Benefits experts weigh in on pension oversight, fiduciary responsibilities
- This article is a follow-up to a story in the June 1 EBN, which detailed a Government Accountability Office report urging Department of Labor officials to improve staff retention and toughen up pension plan oversight. The article is available at BenefitNews.com. The Employee Benefits Security Administration probably doesn't...
- Research articles 2007-08-01
- U.S. Labor Department Obtains Judgment to Recover Nearly $1.2 Million for Miami-Based Employee Retirement Plan
- To: BUSINESS EDITORSContact: Gloria Della of the U.S. Department of Labor, +1-202-693- 8664, +1-202-693-4676 MIAMI, July 11 /PRNewswire-USNewswire/ -- The U.S. Department of Labor has obtained a default court judgment providing restitution of $1,154,848.25 plus interest to the profit-sharing retirement plan of Miami-based X-Ray Equipment Co., removing the company as...
- Research articles 2007-07-11
- The use of efficient market hypothesis: beyond SOX.(Sarbanes-Oxley Act of 2002)
- This Article focuses on the regulatory use of finance theory, particularly the efficient market hypothesis ("EMH"), in two areas where securities pricing is at issue: shareholder appraisal cases and the use of employer stock in benefit plans. Regarding shareholder appraisal cases, the Article finds that the...
- Research articles 2007-06-01
- Loss of exemption may force advisers to tweak business models
- Retirement plan brokers may have to restructure their businesses in light of a Federal Court of Appeals decision. On March 30 the court struck down an SEC rule which exempted broker-dealers from Investment Advisers Act of 1940 requirements. The so-called "Merrill Rule" allowed brokers to provide investment advice for a...
- Research articles 2007-05-01
- Transamerica Offers New, Easy-to-Use Fiduciary Management Program Featuring a Fiduciary Warranty
- One-of-a-kind "Fiduciary Management Program" designed for advisers to help plan sponsors clearly define, execute, and document investment selection and monitoring
- Research articles 2008-02-11
- At deadline.(Piper Jaffray acquires Fiduciary Asset Management)(Michael Hogan appointed at Michael Hogan as equities CIO)(Royal Dutch Shell PLC agreed to a settlement of $455 million )
- Piper Jaffray returns Piper Jaffray will acquire Fiduciary Asset Management, marking the investment bank's return to the asset management business. In a conference call, Piper Jaffray executives said they will pay an initial $66 million to buy 100% of FAMCO, with further "significant''...
- Research articles 2007-04-16
- U.S. Labor Department Recovers More Than $2 Million to Pay New Jersey Benefit Plan Health Claims
- To: HEALTH EDITORSContact: Gloria Della, +1-202-693-8664, or Peter Hong, +1-202-693- 4676, both of U.S. Department of Labor NEWARK, N.J., April 2 /PRNewswire-USNewswire/ -- The U.S. Department of Labor has obtained a court judgment requiring the former trustees of the New Jersey Licensed Beverage Association multiple employer welfare arrangement MEWA in...
- Research articles 2007-04-02
- DALBAR Announces Enhancements to 401 Adviser Certification and Fiduciary Adviser Network in Response to DoL Requiring Due Diligence for Advisers
- BOSTON -- In the wake of the Department of Labor DoL guidance bulletin on February 2, 2007, DALBAR, Inc. today announced enhancements to two programs affected by the new guidelines. "The DoL's most recent bulletin has effectively mandated all advisers who currently deliver advice to plans must be run...
- Research articles 2007-02-06
- Battle over evidence expands in Jeff case
- LAS VEGAS -- The hearing lasted about as long as it takes to lose $20 at the slot machines. But it was just enough time for a federal judge here to allow more lawyers to get involved in the fight over a trove of papers, ledgers, documents, cash...
- Research articles 2007-01-09
- ERISA Fiduciary Responsibilities and Registered Investment Advisors
- Many plan sponsors are unaware of their responsibilities as Employee Retirement Income Security Act ERISA fiduciaries as they relate to the prudent selection and monitoring of plan asset investments. The continually volatile stock market, large corporate failures, and recent mutual fund scandals have caused plan sponsors to focus on fiduciary...
- Research articles 2007-01-01
- Shurtleff wants access to FBI's Jeffs evidence
- ST. GEORGE -- Papers, ledgers and computers seized by the FBI when it arrested Fundamentalist LDS Church leader Warren Jeffs could help the Utah attorney general's organized crime investigation into the polygamist leader and his church. Attorney General Mark Shurtleff said he wants to see the seized evidence...
- Research articles 2006-11-23
- Fiduciary Fire Index
- At the end of next month-at the start of the new year-the Pension Protection Act will go into effect and expose all over again the fact that, although we all like to talk about fiduciary standards, there really isn't any consistent definition of the term. Indeed, Don Trone, of the...
- Research articles 2006-11-01
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