Fiduciary Governance

Fiduciary Governance

By ASPPA Net Staff4/29/2016 • 0 Comments

The Financial Industry Regulatory Authority (FINRA) in a recent notice provides guidance on the responsibilities of firms regarding supervision of the sale of pension income stream products by their associated persons. READ MORE

By ASPPA Net Staff4/29/2016 • 0 Comments

The U.S. House of Representatives adopted a resolution April 28 disapproving of the Labor Department’s final fiduciary regulation. READ MORE

By ASPPA Net Staff4/27/2016 • 0 Comments

The PBGC on April 27 announced that it is proposing amendments to its premium payments regulation; the proposal applies to single-employer and multiemployer plans. READ MORE

By ASPPA Net Staff4/26/2016 • 0 Comments

A new survey of 117 retirement plan service providers by the SPARK Institute found that nearly 80% are still evaluating risks and requirements of the regulations, and 60% indicated that key parts of the regulation are still not clear. READ MORE

By ASPPA Net Staff4/26/2016 • 0 Comments

The Department of Labor (DOL) issued the conflicted advice regulation in its final form on April 6. It may have been primarily directed at investment advisors, but plan administrators need to understand what it means and how they will be affected as well. A recent ASPPA webcast discussed exactly that. READ MORE

By Nevin Adams 4/22/2016 • 0 Comments

I was recently asked by a reporter if the new fiduciary regulation was “needed.” The question caught me a bit off guard, because having been in “figure out how to deal with this” mode for most of the past year, I had long since moved past “why” and “if” to “when” and “how.” READ MORE

By ASPPA Net Staff4/22/2016 • 0 Comments

The Congressional Budget Office has issued a report saying that two House bills that would require congressional approval of the DOL fiduciary rule and would provide alternative fiduciary protection for consumers would have a negligible effect on federal revenues.
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By ASPPA Net Staff4/21/2016 • 0 Comments

The House Education and the Workforce Committee on April 21 passed a resolution introduced just two days earlier that is intended to block the fiduciary rule the Department of Labor (DOL) issued in final form on April 6. READ MORE

By Nevin Adams 4/21/2016 • 0 Comments

Sure you do — and we’ve developed a way for you to ask the Labor Department. READ MORE

By ASPPA Net Staff4/21/2016 • 0 Comments

A group of Republican senators has introduced a resolution to stop the Department of Labor’s new conflict-of-interest rule. READ MORE

By ASPPA Net Staff4/20/2016 • 0 Comments

The fiduciary regulation may be final, but a trio of Republican lawmakers have introduced a resolution to block it. READ MORE

By ASPPA Net Staff4/13/2016 • 0 Comments

Everyone is well aware of the need for cybersecurity and protecting the privacy of data. But there is an additional concern for retirement plan fiduciaries — they are important to fulfilling fiduciary duty. READ MORE

By ASPPA Net Staff4/13/2016 • 0 Comments

Third-party administrators (TPAs) got some good news, and some much-need clarity, in the final fiduciary regulation. READ MORE

By ASPPA Net Staff4/12/2016 • 0 Comments

The Department of Labor issued the final fiduciary rule on April 6; ASPPA will hold a webcast on April 14 to help plan administrators understand what it means and how they will be affected. READ MORE

By ASPPA Net Staff4/12/2016 • 0 Comments

When life hands you lemons, make lemonade — and recent assessments suggest that the maxim may even apply for those who anticipate that the fiduciary rule the DOL released may create challenges.
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By Nevin Adams4/7/2016 • 0 Comments

A provision in the Department of Labor’s 2015 proposed fiduciary rule that would have had a significant impact on participant education has been modified in the final rule issued April 6. The revised provision aligns with recommendations made by the American Retirement Association. READ MORE

By Nevin Adams 4/6/2016 • 0 Comments

After a five-month comment period, public hearings, more than 3,000 comment letters, 300,000 petitions, and more than 100 meetings, nearly a year to the day that the Department of Labor unveiled its “Conflicts of Interest” proposal, we have a final fiduciary regulation. READ MORE

By Nevin Adams 4/6/2016 • 0 Comments

In a big win for the advocacy efforts of the American Retirement Association, the Department of Labor’s (DOL) final fiduciary regulation provides a streamlined exemption for “level-to-level” advisor compensation. READ MORE

By ASPPA Net Staff4/4/2016 • 0 Comments

As the industry anticipates publication of the Labor Department’s fiduciary regulation this week, the Office of Management and Budget (OMB) has finished its review, according to a posting on the OMB’s website. READ MORE

By ASPPA Net Staff4/4/2016 • 0 Comments

The drafting, redrafting, comment, revision, lather rinse repeat of the DOL fiduciary rule has been a protracted process. As we appear to be on the brink of its introduction, it’s interesting to consider how much time it may take to comply. READ MORE

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