Fiduciary Governance

Fiduciary Governance

By Andrew Remo4/19/2018 • 0 Comments

The SEC commissioners voted 4-1 to release for public comment a set of proposals to “enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products.” READ MORE

By John Iekel 4/13/2018 • 0 Comments

Panelists shared their perspectives on the importance of lifetime income options and ways to enhance their availability at the recent Enrolled Actuaries Meeting held in Washington, DC. READ MORE

By Ted Godbout4/13/2018 • 0 Comments

As workers become more highly mobile, and frequently change jobs and homes, the task of finding missing plan participants can be a time-consuming and difficult process for plan sponsors. READ MORE

By John Iekel 4/13/2018 • 0 Comments

On April 11 at the Enrolled Agents Meeting held in Washington, DC, PBGC officials discussed compliance issues regarding single-employer plans, with a focus on late filings and missing participants. READ MORE

By Nevin Adams 4/12/2018 • 0 Comments

Scottrade wants to make a federal case out of an administrative proceeding filed by Massachusetts alleging violations of internal policies adopted in anticipation of the Labor Department’s fiduciary rule. READ MORE

By Nevin Adams 4/12/2018 • 0 Comments

The Securities and Exchange Commission has announced plans for an open meeting to consider the agency’s long-awaited — and much anticipated — fiduciary proposal. READ MORE

By John Iekel 4/11/2018 • 0 Comments

The IRS and Treasury Department are “making progress” on guidance regarding missing participants, according to a panelist at an April 11 session of the Enrolled Actuaries meeting held in Washington, DC. READ MORE

By Robert Toth4/6/2018 • 0 Comments

The Tax Cuts and Jobs Act’s participant loan changes trigger the “uncomfortable” manner in which ERISA’s fiduciary rules apply to loans and their administration. READ MORE

By John Iekel3/29/2018 • 0 Comments

The Department of Labor’s (DOL) fiduciary rule may be on hold indefinitely, but that doesn’t mean that fiduciary duties similarly are in limbo. A recent blog entry offers some tips for meeting them. READ MORE

By ASPPA Net Staff3/28/2018 • 0 Comments

The 5th Circuit Court of Appeals recently “vacated” the DOL’s fiduciary rule and exemptions. Fred Reish discusses what that means for recommendations to participants that they take plan distributions and roll them over to IRAs. READ MORE

By Kenneth Marblestone3/28/2018 • 0 Comments

Sign up now for the 2018 ASPPA Eastern Regional Conference to take advantage of the extended Early Bird registration rate, which is now available until April 3. READ MORE

By John Iekel 3/28/2018 • 0 Comments

Did the 5th Circuit ruling that vacated the fiduciary rule really kill the rule? A recent analysis of the ruling discusses its possible effects. READ MORE

By John Iekel 3/28/2018 • 0 Comments

The 5th Circuit’s ruling in Chamber of Commerce et.al. v. U.S. Dept. of Labor vacating the DOL fiduciary rule was a win for opponents of the rule — or was it? READ MORE

By John Iekel 3/28/2018 • 0 Comments

The DOL Advisory Council on Employee Welfare and Pension Benefit Plans’ latest report centers on one overarching theme: simplifying plan disclosures to participants and beneficiaries. READ MORE

By Nevin Adams 3/27/2018 • 0 Comments

An appeal of a decision supporting the Department of Labor’s (DOL) fiduciary rule won’t have its day in court, after all. READ MORE

By Nevin Adams 3/26/2018 • 0 Comments

A suit against third-party administrator Vantage Benefit Administrators has been amended to include another party alleged to be complicit in the theft of money from a number of retirement plans. READ MORE

By John Iekel 3/26/2018 • 0 Comments

Plans that are abandoned or have missing participants make plan administration a lot more complicated. A recent ASPPA webcast addressed those unwelcome situations. READ MORE

By Joseph Caruso3/21/2018 • 0 Comments

For the moment, anyway, the Old Line State has stepped back crossing a line that would have established its own fiduciary rule. READ MORE

By Nevin Adams 3/19/2018 • 0 Comments

The industry may be wondering what’s next in the wake of last week’s federal court decision vacating the fiduciary rule — but, for now anyway, the DOL says it is taking a pause. READ MORE

By John Iekel 3/19/2018 • 0 Comments

There may not be much guidance on how to avoid breaking plan administration rules, but you’re not helpless; a recent blog entry offers suggestions about what to do about and before a DOL investigation. READ MORE

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