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2008.06.25
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CEFEX News Release
CEFEX enhances its Investment Advisor certification program to render a legal opinion on adherence to ERISA.
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2008.06.15
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A Warning Light for Fiduciaries
Blaine Aikin, CEO of fi360 summarizes how to mitigate fiduciary risk in his column for Investment News magazine.
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2008.06.15
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A Warning Light for Fiduciaries
Blaine Aikin, CEO of fi360 summarizes how to mitigate fiduciary risk in his column for Investment News magazine.
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2008.03.01
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Fortifying fiduciary practices, oversight
Jack Gardner, managing director of Thornburg Investment Management Inc. writes about the changing fiduciary landscape, referring to fi360 training and CEFEX certification.
View the article at pionline.com
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2008.03.01
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Are you certifiable?
Glenn Kautt, CEO of The Monitor Group, writes about the importance of fi360's Fiduciary Practices and CEFEX Certification, as regulators turn up the heat on the planning industry.
View the article at financial-planning.com
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2008.03.01
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Plan sponsors are avoiding a safe harbor
Blaine Aikin, CEO of fi360 explains that by shunning plan reviews, sponsors are making themselves vulnerable to litigation.
View the article at investmentnews.com
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2008.03.01
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How You Are Paying What You Don’t Know: A Primer on Indirect Mutual Fund Payments
Fred Reish provides a detailed description of how indirect payments within mutual fund investments can be identified. Invaluable information for pending fee disclosure requirements.
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2008.01.16
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C. Frederick Reish Joins CEFEX Advisory Council
Fred Reish is well-known throughout the retirement industry as a leading visionary on legal and regulatory matters.
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2008.01.16
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EI of an ERISA Fiduciary
Wayne H. Miller, CEO of Denali Fiduciary Management and a CEFEX Technical Expert, provides a thought-provoking article on the theory of "Emotional Intelligence" and how it applies to fiduciaries.
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2007.10.24
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CEFEX and ASPPA introduce Recordkeeper Certification
This program is based on a Standard of Practice developed by an industry task force led by CEFEX and ASPPA. The Standard, modelled after the Prudent Practice series of Fiduciary 360, describes the practices required of a Recordkeeper to serve a Steward (Plan Sponsor) in conjunction with Advisors or Managers, in fulfilling their fiduciary obligations.
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2007.10.17
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CEFEX and fi360 comment on CFA Institute Code
CEFEX and Fiduciary360 provide comments to the CFA Institute's recently drafted "Code of Conduct for Members of a Pension Scheme Governing Body".
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2007.10.11
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Leadership Council Formed to Promote Fiduciary Excellence
The Investment Fiduciary Leadership Council ("IFLC") is comprised of firms that have earned CEFEX certifications, and will work together to promote fiduciary excellence within the corporate, public pension and university endowment communities.
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2007.09.20
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Are Pension Funds Hazardous to Your Health?
Article by Dr. Susan Mangiero, which appeared in the Aug '07 "Mann on the Street" publication. A description of how fiduciary issues may impact more than just the acknowleged fiduciaries to a pension plan.
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2007.05.16
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Helping Fee-Only Advisors Follow PPA Provisions for ‘Fiduciary Adviser’ Standard
Leading Financial Service Organizations To Help Fee-Only Advisors Follow PPA Provisions for ‘Fiduciary Adviser’ Standard
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2007.04.26
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CEFEX Announces New Certification
New Certification for Fiduciary Advisers and Eligible Investment Advice Arrangements
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2007.04.12
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Call for independent certification
Alex Fowler, CEO of Strategic Asset Management, the recipient of the first CEFEX Certification in New Zealand, talks about the benefits of Certification in this financialalert magazine article.
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2007.04.02
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The Implications of Vacating the Broker-Dealer Exemption
Fiduciary 360,Pittsburgh--A federal appeals court has struck down the Securities and Exchange Commission’s broker-dealer exemption, stating that the SEC lacked the authority to grant brokers broad exceptions to rules that apply to investment advisors.
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2007.01.30
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Response to Department of Labour
Responses to 4 questions regarding fee disclosure as requested by the US Department of Labour Employee Benefits Security Administration in relation to the 2006 Pension Protection Act. Submitted by CEFEX and 7 industry experts.
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2007.01.22
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CEFEX Advertisement
Advertisement appearing in the January 22, 2007 issue of Pensions & Investments.
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2006.12.15
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Managing the Money Managers
Article from Nov/Dec issue of Thinking Business Magazine, an SAI Global publication. Includes quotes from Carlos Panksep, General Manager CEFEX, Jack Gardner, Managing Director Thornburg Investment Management - US, and Denys Pearce, Managing Director Plan B Financial Services - Australia.
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2006.10.26
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Proposed Criteria for the PPA's Required Annual Audit
In anticipation of the US Secretary of State's publication, this draft contains criteria for the audit of an "eligible investment advice arrangement" between a fiduciary adviser and an independent fiduciary (typically the plan sponsor), and of the computer-driven advice model.
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2006.10.19
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Overview Of The Investment Advice Provisions Of The PPA
A series of 3 articles written by Fiduciary360 for Investment News, intended to provide an overview of the sections from the new US Pension Protection Act that are likely to have an impact on investment advisors.
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2006.10.06
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ERISA Litigation Review
Spate of Class Action Lawsuits Targets 401(k) Fees and Expenses
Legal summary and comment on September’s ERISA lawsuits by Joe Faucher of Reish, Luftman, Reicher & Cohen.
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2006.09.24
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Drop The Barriers On Mutual Fund Firms
Editorial from Montreal Gazette, based on input from Robert Pouliot VP CEFEX, and Jean-Luc Landry of Landry/Morin Inc.
View this article at The Gazette
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2006.09.01
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To Avoid Another Norbourg … And Beyond
Summary of the Brief submitted to the Public Finance Committee of the Quebec National Assembly in its general consultation on the protection of investors in Quebec, Canada.
Robert Pouliot, VP CEFEX is a member of the “Coalition pour la protection des investisseurs”, which submitted the Brief.
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2006.08.01
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Connecting the Fiduciary Dots
Don Trone is interviewed by Inside Information newsletter in this article about fiduciary standards of care in light of the new Pension Protection Act.
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