Regulatory Compliance

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


 

 

By ASPPA Net Staff8/16/2017 • 0 Comments

The DOL's Aug. 9 proposal that the transition period and full Best Interest Contract applicability date of the fiduciary rule be delayed 18 months was good news to some, but such a reaction is not universal. READ MORE

By ASPPA Net Staff8/16/2017 • 0 Comments

The IRS on Aug. 15 announced that it seeks ideas on a video presentation it is preparing on the pre-approved plans opinion letter program. READ MORE

By Ted Godbout8/15/2017 • 0 Comments

Compliance with the DOL's fiduciary rule has reduced access to brokerage advice services and choice, cost billions, and disrupted retirement savers, says a new study. READ MORE

By John Iekel8/11/2017 • 0 Comments

A recent blog entry argues that employers and plan administrators can face complex situations concerning distributions. READ MORE

By Nevin Adams8/9/2017 • 0 Comments

The Labor Department has submitted a proposal to the Office of Management and Budget (OMB) to extend the transition period and full BIC applicability date of the fiduciary regulation. READ MORE

By ASPPA Net Staff8/8/2017 • 0 Comments

The 6th Circuit has said participants in a university’s plan do not have to exhaust administrative remedies before pursuing ERISA claims. A recent blog entry discusses what this means for plan fiduciaries. READ MORE

By Craig Hoffman8/4/2017 • 0 Comments

The DOL has issued new FAQs on the fiduciary regulation that embrace the recommendations made by the ARA/NAPA Government Affairs Committee (GAC) in a recent comment letter. READ MORE

By ASPPA Net Staff7/28/2017 • 0 Comments

What comes to mind when you think of Socrates? Probably not defined benefit plans. And yet, a recent blog entry posits that there is indeed a connection. READ MORE

By Ray Harmon, John Iekel7/27/2017 • 0 Comments

Nevada’s new law that imposes a fiduciary duty on broker-dealers, sales representatives and investment advisers is now in effect; it also authorizes rules on fiduciary duty. READ MORE

By John Iekel7/26/2017 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) is inviting comment on what regulatory — and deregulatory — actions it should take. READ MORE

By ASPPA Net Staff7/25/2017 • 0 Comments

A group of lawmakers has responded to the DOL's request for information on the fiduciary regulation delay — by expressing concern that the RFI would be a pretext for revising the final rule. READ MORE

By John Iekel7/21/2017 • 0 Comments

Fiduciary duties and functions have been discussed… just a little… over the last few years. But a recent blog entry suggests that cybersecurity should be added to them. READ MORE

By John Iekel7/21/2017 • 0 Comments

The July 1 launch of the Oregon Retirement Savings Program (OregonSaves) pilot has been a success, says a report by the Oregon Retirement Savings Board. READ MORE

By ASPPA Net Staff7/21/2017 • 0 Comments

The House Education and the Workforce Committee approved legislation July 19 that would repeal the DOL fiduciary regulation. READ MORE

By John Iekel7/20/2017 • 0 Comments

President Trump’s executive order intended to cut tax regulatory burdens does not apply to retirement-related regulations and actions by the IRS, the Treasury has indicated. READ MORE

By John Iekel7/18/2017 • 0 Comments

The IRS Office of the Chief Counsel has reiterated an earlier IRS statement that Congress did not intend the one-rollover-per-year limit for IRAs to apply when the custodial institution fails. READ MORE

By Ted Godbout7/18/2017 • 0 Comments

To help prevent retirement plan cashout leakage when workers change jobs, 11 Senators sent a letter to Labor Secretary Acosta asking the DOL to issue guidance clarifying the application of ERISA to auto portability features. READ MORE

By Nevin Adams 7/18/2017 • 0 Comments

In a July 18 letter responding to the DOL's request for information on its fiduciary rule, the American Retirement Association has requested an extension of the applicability date — and a streamlined levelized fee exemption. READ MORE

By ASPPA Net Staff7/17/2017 • 0 Comments

House Education and the Workforce Committee on July 19 will markup the Affordable Retirement Advice for Savers Act, a bill that would repeal the DOL's fiduciary rule. READ MORE

By ASPPA Net Staff7/17/2017 • 0 Comments

Fred Reish looks at two issues concerning the Best Interest Contract Exemption in the DOL's recent request for information about the fiduciary regulation. READ MORE

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