Articles tagged "Penniall & Associates"

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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 — 3:02 AM UTC

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 — 5:01 AM UTC

New DOL rule effectively kills off open-architecture option favored by some big plan participants -- and sets off the 401(k) industry

The wrinkle aimed at self-directed accounts is seen as an unnecessary eleventh hour blindsiding by Fidelity, TD and the CFDD among a broad constituency

June 20, 2012 — 5:44 AM UTC

DOL tells employers when they must fire advisors to 401(k) plans

The new teeth in the rules went unnoticed by many people amid other changes

February 10, 2012 — 5:26 AM UTC

Report of a possible delay in DOL's fee disclosure rule sparks apprehension among advisors and industry observers

Advisors say they can't comply with the rule until they know what's in it but one delay could lead to another

January 5, 2012 — 3:57 PM UTC

Schwab's rapid response to letter snafu seems to be smoothing ruffled feathers

The custodian garnered praise for its straightforward apology, but does the blunder point up a larger conflict of interest?

August 25, 2011 — 5:35 AM UTC

Fidelity, Vanguard and Schwab have top 401(k) brands but plan sponsors like the service of off-brands better, study shows

In market share wars for retirement plan dollars, big and small brands alike have much to learn

July 8, 2011 — 2:23 PM UTC

What to make of yesterday's Wall Street Journal report on Schwab's 401(k) 'bet'

RIAs favor WSJ's suggestion that Financial Engines is getting a close look as an outsourced 401(k) advice provider

June 2, 2011 — 1:44 PM UTC
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