Fiduciary

Type: Keyphrase

Name: Fiduciary

First reported 1 hour ago - Updated 1 hour ago - 1 reports

Employee Benefits Security Administration

Exemption From Certain Prohibited Transaction Restrictions

SUMMARY: This document contains an exemption issued by the Department of Labor (the Department) from certain of the prohibited transaction restrictions of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) and/or the Internal Revenue ... [Published Zecco - 1 hour ago]

Entities: Property, Fiduciary, Party In Interest, Employee Retirement Income Security Act Of 1974, Employee Benefits Security Administration

First reported 3 hours ago - Updated 3 hours ago - 1 reports

COMPLY-Fiduciary rule, long postponed, faces more delays, lobbying

The long-running Washingtondebate over whether and how to beef up ethical standards forWall Street brokers who give financial advice shows no sign ofending. Some industry lobbyists are even stepping up their lobbying on the so-called fiduciary rule. The ... [Published Reuters - 3 hours ago]

Entities: Fiduciary, US Securities and Exchange Commission, Ann Wagner

First reported 17 hours ago - Updated 17 hours ago - 1 reports

The Regulators Are Coming

(PLANSPONSOR.com) – The Department of Labor (DOL) Employee Benefit Security Administration’s (EBSA) budget has decreased for 2014, but this will not affect enforcement.“There will be 1,003 members of the enforcement staff,” said Bradford P. Campbell, ... [Published PLANSPONSOR.com - 17 hours ago]

Entities: Fiduciary, Drinker Biddle & Reath LLP, Bradford P. Campbell

First reported 18 hours ago - Updated 18 hours ago - 1 reports

Financial Industry Regulatory Authority

FINRA to SEC: Act on fiduciary, or we’ll make our own disclosure rules

FINRA CEO Richard Ketchum called on the SEC to “act quickly” to put brokers and advisors under a uniform fiduciary standard. ... [Published LifeHealthPro - 18 hours ago]

Entities: Financial Industry Regulatory Authority, disclosure rules, Fiduciary

First reported 18 hours ago - Updated 18 hours ago - 2 reports

US Securities and Exchange Commission

City of South Miami Charged by SEC for Muni Fraud in Tax-Exempt Status

The Securities and Exchange Commission is usually seen going after individuals, fiduciary managers, and companies for various aspects of investor fraud. We have already seen the state of Illinois get... ... [Published EquityJungle - v0.1 - 18 hours ago]

Entities: US Securities and Exchange Commission, Fraud, Fiduciary

First reported 21 hours ago - Updated 21 hours ago - 1 reports

Clifford Chance LLP

Law Firm Adds to Employee Benefits Practice

(PLANSPONSOR.com) – Law firm Epstein Becker Green hired Jeffrey A. Lieberman in its employee benefits practice in the New York office.Lieberman was formerly a partner with Clifford Chance U.S. LLP in its New York office. His expertise includes advising ... [Published PLANSPONSOR.com - 21 hours ago]

Entities: Employee Benefits, Fiduciary, Epstein Becker & Green PC, Clifford Chance LLP, ERISA

First reported 23 hours ago - Updated 23 hours ago - 1 reports

New York Stock Exchange

Buyers Accumulate Shares of Fiduciary/...

Fiduciary/Claymore MLP Opportunity Fund (NYSE:FMO), a company whose shares are moving quickly, is trading 1.6% higher to $26.80. The S&P is trading higher by 0.4% to 1,676 and the Dow is trading 0.5% higher to 15,462. Fiduciary/Claymore MLP Opportunity ... [Published Financial News Network online - 23 hours ago]

Entities: Fiduciary, Stocks, Moving Average, New York Stock Exchange, Total Return

First reported May 21 2013 - Updated May 21 2013 - 1 reports

Inexperienced Plan Sponsors Need a Little Love From Fund Websites

Dalbar gives highest overall website ratings to John Hancock and TransamericaMore On Legal & Compliancefrom The Advisor's Professional LibraryDealings With Qualified Clients and Accredited Investors Depending upon an RIAs business model and investment ... [Published AdvisorOne - May 21 2013]

Entities: Fiduciary, ERISA, John Hancock

First reported May 21 2013 - Updated May 21 2013 - 1 reports

DOL Releases Fiduciary Tips for Selecting Target Date Funds

Explore: DOL Fiduciary Duty TDFsIn recent years, target date funds (TDFs) have become a popular investment option for many 401(k) plan participants. By investing in a mix of stocks, bonds and other investments, often through investments in other mutual ... [Published JD Supra - May 21 2013]

Entities: Fiduciary, Target Date, Allotment, guidelines

First reported May 21 2013 - Updated May 21 2013 - 1 reports

Legal Exposures for Medical Practices with 401K plans

We’ve covered a variety of medical, non-medical, and general business exposures in this forum as we explore asset protection issues for doctors in all their many required forms. This week we take a look at a commonly overlooked exposure: management of ... [Published Physicians Practice - May 21 2013]

Entities: Fiduciary, ERISA, Actuary, US Department of Labor

First reported May 21 2013 - Updated May 21 2013 - 1 reports

Congress Introduces Bill to Modify Definition of Fiduciary for ESOP Appraisers

A trio of lawmakers in Congress have introduced a bill in the House that would modify the definition of fiduciary under the Employee Retirement Income Security Act of 1974 to make clear that appraisers of employee stock ownership plans are not fiduciaries ... [Published Accounting Today - May 21 2013]

Entities: Fiduciary, Employee Retirement Income Security Act Of 1974, AICPA American Institute of Certified Public Ac..., Lynn Jenkins, Dave Loebsack

First reported May 21 2013 - Updated May 21 2013 - 2 reports

GMAMX: Goldman Sach’s Muppet Fund of Funds

In our day job, we have a Fiduciary relationship with our clients. A Fiduciary has a legal obligation where all actions are performed for the benefit of the client. It is a much higher standard than the typical “Suitability” standard, which essentially ... [Published EquityJungle - v0.1 - May 21 2013]

Entities: Fund of Funds, Fiduciary, Facebook IPO

Quotes

"Over the years, Tim has served as a trusted advisor to me and to other members of the Management Group with his vision and leadership" Chairman and Chief Executive Officer Frederick H Waddell said...

Timothy Moen to Retire from Northern Trust [Published Business Wire - 1 hour ago]

He "knowingly and fraudulently did use, embezzle and misappropriate property, that is, United States funds, such property coming into the defendant's control and under the color of such fiduciary's office and service, in the execution of defendant's fiduciary trust in violation of Title 38 United States Code, Section 61 01" it was stated

Kerns Set To Plead Guilty To Embezzling Government Funds Meant For His Helpless Sister [Published Chattanoogan - 2 hours ago]

...to see how receptive plan sponsors, advisors, and plan providers are to the concept," says Richard Schroder, president of Anova Consulting Group. "There are certainly some operational as well as cultural challenges facing private equity firms who wish to sell their investments in retirement plans, but there may also be opportunities, especially given the growth of target date funds and automated plan features. This study will help to flesh out challenges and opportunities and create a roadmap with ideas on how the trend might play out."

Anova launches study on private equity in DC plans [Published Private Equity Wire - 2 hours ago]

"We believe that the increased offer provides Elan Shareholders an attractive financial alternative that will allow them to realize value for their Elan stock in cash immediately."

Royalty Pharma Lowers Acceptance Threshold For Elan Offer [Published 4 Traders - 3 hours ago]

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Using Faith and Family Values to Choose Stocks [Published FOX Business - Video - Mar 29 2013]
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