Regulatory Compliance

Regulatory Compliance covers compliance with ethical codes of conduct as well as those promulgated by FINRA and the SEC. 


 

 

By ASPPA Net Staff6/22/2018 • 0 Comments

“The dog ate my homework.” We all miss deadlines. But sometimes there are extenuating circumstances, as even the IRS recognizes — for instance, regarding required minimum distributions (RMDs). READ MORE

By Nevin Adams6/21/2018 • 0 Comments

After weeks of anticipation, the 5th Circuit Court of Appeals finally issued its mandate vacating the DOL fiduciary rule on June 21. READ MORE

By Nevin Adams 6/20/2018 • 0 Comments

In what looks to be a first in excessive fee litigation, a court has ordered plaintiffs to produce some Facebook posts. READ MORE

By Nevin Adams 6/20/2018 • 0 Comments

The DOL has unveiled the final version of a rule that allows more small businesses and self-employed workers to band together to buy health insurance — and may have dropped a small hint about retirement MEPs. READ MORE

By John Iekel 6/18/2018 • 0 Comments

Experts at the recent 2018 SPARK Institute National Conference held in National Harbor, MD addressed online threats to financial assets — virtual, but also very real. READ MORE

By ASPPA Net Staff6/18/2018 • 0 Comments

How does the best interest standard of care in the SEC’s Regulation Best Interest compare to the standard of care in the DOL’s Best Interest Contract Exemption (BICE)? READ MORE

By John Iekel 6/15/2018 • 0 Comments

The Oregon Retirement Savings Board has provided an update on recent activities, implementation and future steps concerning the OregonSaves state-sponsored savings program for private sector employees. READ MORE

By Ted Godbout6/15/2018 • 0 Comments

While June 13 was widely cited as the last day the DOL could appeal to the U.S. Supreme Court the 5th Circuit’s ruling vacating the fiduciary rule, that day has now come – and gone. READ MORE

By John Iekel 6/13/2018 • 0 Comments

A recently released white paper suggests that while embracing innovation in the features and options added to a plan, it is important to be mindful of fiduciary duties. READ MORE

By ASPPA Net Staff6/13/2018 • 0 Comments

Guess how many CE credits you can get at the ASPPA Annual Conference. READ MORE

By Nevin Adams6/11/2018 • 0 Comments

Another provider has been sued by an employee-participant in its own 401(k) plan, not just for its inclusion of proprietary funds, but the type and number of options on its menu — and its target-date strategy. READ MORE

By John Iekel 6/11/2018 • 0 Comments

The IRS determination letter program and what to do about missing participants were among the topics the Employee Plans Subgroup of the IRS Advisory Committee on Tax Exempt and Government Entities addressed in the general report it issued on June 7. READ MORE

By ASPPA Net Staff6/10/2018 • 0 Comments

The SEC’s proposed Regulation Best Interest is remarkable in its similarities to the DOL’s vacated Best Interest Contract Exemption – or so Fred Reish thinks. READ MORE

By Ted Godbout6/10/2018 • 0 Comments

President Trump has nominated Senate Banking Committee aide Elad Roisman to serve as a Republican member of the SEC. READ MORE

By Nevin Adams 6/8/2018 • 0 Comments

The ARA has filed formal comments concerning a regional office of EBSA that has been threatening enforcement actions against plan sponsors who correct the late deposit of participant contributions or loan repayments without making a formal VFCP submission. READ MORE

By John Iekel 6/8/2018 • 0 Comments

The official hurricane season has just begun — and it can be helpful to a service provider and plan administrator to prepare… just in case. READ MORE

By Nevin Adams6/7/2018 • 0 Comments

The victorious plaintiffs in litigation vacating the DOL's fiduciary rule would like the U.S. Court of Appeals for the 5th Circuit to put the rule — and the financial services industry at large — out of its collective "misery." READ MORE

By John Iekel 6/6/2018 • 0 Comments

In a June 4, 2018 comment letter to the IRS, the ARA recommended that the IRS expand its determination letter program to cover specific situations. READ MORE

By Nevin Adams 6/6/2018 • 0 Comments

Following a House subcommittee hearing, the Chairman and Ranking Member want some answers from the IRS on changes that dramatically increased the cost to small plans of correcting plan mistakes. READ MORE

By Ted Godbout6/6/2018 • 0 Comments

The SEC has approved a proposal that it says will improve the method for delivering fund shareholder reports to investors in mutual funds, ETFs and other investment funds. READ MORE

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