Fiduciary Governance

Fiduciary Governance

By ASPPA Net Staff4/15/2015 • 0 Comments

Industry insider and fiduciary geek Pete Swisher has penned a timely and insightful piece on the history and potential future impact of the Department of Labor’s new “conflict of interest” proposal.
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By ASPPA Net Staff4/15/2015 • 0 Comments

The Investment Company Institute says the Obama administration relied on "fatally flawed" research in supporting its push for an expansion of the “conflicted advice” rule released April 14. READ MORE

By John Iekel4/10/2015 • 0 Comments

Small defined benefit plans that have received audit waivers need more frequent review, says the Department of Labor’s Inspector General in a report concerning EBSA’s oversight of small plans claiming the audit waiver. READ MORE

By ASPPA Net Staff4/1/2015 • 0 Comments

The Internal Revenue Service is moving to make it easier — and in some cases cheaper — to remedy plan problems with participant loans. READ MORE

By ASPPA Net Staff4/1/2015 • 0 Comments

A strengthening economy does not appear to have translated into fewer loans from solo 401(k)s. READ MORE

By Andrew Remo3/26/2015 • 0 Comments

The Securities and Exchange Commission and Department of Labor are both working on fiduciary issues — but their different approaches appear to be on different schedules. READ MORE

By ASPPA Net Staff3/20/2015 • 0 Comments

The IRS on March 19 announced that it has extended temporary relief from nondiscrimination rules for certain closed defined benefit plans under Internal Revenue Code Section 401(a)(4) for another year. READ MORE

By ASPPA Net Staff3/20/2015 • 0 Comments

The IRS on March 19 in IR-2015-55 issued a reminder that April 1 is the deadline for RMDs from traditional IRAs and 401(k), 403(b) and 457 plans to taxpayers who reached age 70½ in 2014. READ MORE

By Andrew Remo3/19/2015 • 0 Comments

Secretary of Labor Thomas Perez used his first appearances before the 114th Congress to deliver a full-throated defense of the DOL’s controversial effort to expand the fiduciary standard of care to financial service providers under the jurisdiction of the department.

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By ASPPA GAC3/19/2015 • 0 Comments

On March 19, the Government Affairs Committee of the American Society of Pension Professionals & Actuaries filed a comment letter with the IRS regarding suggested changes to the Employee Plans Compliance Resolution System. READ MORE

By Ray Harmon, John Iekel3/19/2015 • 0 Comments

Securities and Exchange Commission Chair Mary Jo White confirmed March 17 that the commission will “implement a uniform fiduciary duty for broker-dealers and investment advisors where the standard is to act in the best interest of the investor.”
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By Alisa Wolking3/16/2015 • 0 Comments

As the White House promotes the Department of Labor’s reproposal of the fiduciary rule, Sen. Elizabeth Warren (D-Mass.) took the opportunity March 12 to criticize “brokers on Wall Street” and reinforce the administration’s messaging on the controversial proposed regulation.

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By ASPPA Net Staff3/13/2015 • 0 Comments

Eight Republican senators have expressed their concerns about the potential negative consequences for American workers if the Labor Department’s fiduciary reproposal hasn’t changed significantly from the 2010 version.
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By ASPPA Net Staff3/6/2015 • 0 Comments

The Labor Department has repeatedly claimed to be consulting with the Securities and Exchange Commission on its fiduciary reproposal — but a couple of key House Republicans would like to see some proof.
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By ASPPA Net Staff3/4/2015 • 0 Comments

Legislative phoenixes that would codify the president’s MyRA proposal and change the qualified plan loan rules have arisen in both chambers of Congress.
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By Mike Bushnell3/3/2015 • 0 Comments

Many plan sponsors said they would make changes to their target date funds last year; a recent study by Callan Associates shows that many of them were true to their word.
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By ASPPA Net Staff3/2/2015 • 0 Comments

New York City Public Advocate Letitia James on Feb. 26 introduced legislation creating a commission of experts to study the establishment of a pension fund for private sector workers in New York City.

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By Nevin Adams2/26/2015 • 0 Comments

The Government Accountability Office recommends that DOL require plan sponsors to notify the agency when they implement lump sum windows, and coordinate with Treasury to clarify guidance on the information sponsors provide participants.

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By Nevin Adams2/25/2015 • 0 Comments

A 401(k) revenue-sharing lawsuit finally got its day before the U.S. Supreme Court.
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By John Iekel2/25/2015 • 0 Comments

ASPPA CEO and Executive Director Brian Graff has warned that the fiduciary rule reproposal could have serious and negative consequences.
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