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BPAS
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Search the News Archive
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6 Matching News Items |
| 1. |
Foundation for Fiduciary Studies
Jan. 16, 2004
7 pages. Excerpt: The Foundation for Fiduciary Studies has prepared the following guide to assist members of the press and other interested parties in understanding the myriad of complex issues associated with the SEC probe on mutual fund families and brokerage firms.
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| 2. |
Foundation for Fiduciary Studies
July 26, 2005
2 pages. Excerpt: One of the more important responsibilities of the fiduciary is the development of a due diligence process. Besides the prudence of such conduct, it also makes good sense. When money managers or funds are selected without a process, there are potential problems:[.]
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| 3. |
Foundation for Fiduciary Studies
June 24, 2004
2 pages. Excerpt: [F]und directors are fiduciaries, but the fiduciary standard of care associated with fund management actually is a lesser standard than that imposed on fiduciaries regulated by other federal and state agencies.
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| 4. |
Foundation for Fiduciary Studies
Jan. 16, 2004
4 pages. Excerpt: The SEC voted on January 14, 2004 to propose new rules (204A 1 and related rule amendments under the Investment Advisers Act of 1940) which would require registered investment advisers ('advisers') to adopt and enforce a code of ethics. The SEC proposal was prompted by the number of breaches of ethical and fiduciary conduct by investment advisers.
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| 5. |
Foundation for Fiduciary Studies
Feb. 19, 2004
2 pages. Excerpt: The 12b-1 fee is an annual percentage charge (typically 25 basis points [0.25%], but can be as high as 100 basis points) that is embedded in a fund's annual expense ratio.
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| 6. |
Foundation for Fiduciary Studies
Jan. 16, 2004
3 pages. Excerpt: The overwhelming majority of the nation's pension plans ... are advised by investment consultants. The SEC has begun an investigation to determine whether certain investment consulting firms have engaged in inadequately disclosed 'pay-to-play' schemes, whereby investment consultants are receiving millions, if not tens of millions of dollars, from the very same money managers the investment consultant has been retained to evaluate and monitor.
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