Regulatory Compliance

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


 

 

Regulatory Compliance

Regulatory Compliance

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 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 3/26/2018 • 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 Ted Godbout3/26/2018 • 0 Comments

Given recent attention and lack of formal guidance on missing participants, there are increasing calls for the government to formally address how far plan sponsors need to go to find them. 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 John Iekel 3/21/2018 • 0 Comments

There is still some time to make a contribution to an IRA and be able to claim it on a 2017 tax return — but not much. 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

By John Iekel 3/16/2018 • 0 Comments

The IRS on March 16 issued Revenue Procedure 2018-21, which modifies its procedures for issuing opinion and advisory letters for pre-approved master and prototype and volume submitter plans. READ MORE

By Nevin Adams 3/16/2018 • 0 Comments

The Labor Department finally came up short in federal court — but trade industry headlines notwithstanding, like Mark Twain, the rumors of the fiduciary rule’s “demise” might be a bit premature. READ MORE

By John Iekel 3/15/2018 • 0 Comments

The IRS has issued a reminder that the retirement plan participants and holds of IRAs and IRA-based plans who attained age 70½ during 2017 must starting receiving RMDs by April 1. READ MORE

By John Iekel 3/15/2018 • 0 Comments

The IRS on March 14 announced that it is retroactively cutting the user fee involved in using Form 5310, Application for Determination for Terminating a Plan. READ MORE

By John Iekel 3/15/2018 • 0 Comments

A recent blog post argues that it is wise for plan fiduciaries to be aware of the importance of plan documents in meeting their fiduciary duties. READ MORE

By Nevin Adams 3/15/2018 • 0 Comments

The fiduciary rule kept its winning streak intact in the first ruling by a federal appellate court. READ MORE

By Nevin Adams 3/14/2018 • 0 Comments

The IRS has responded to the American Retirement Association’s comment letter on the significant changes to the pricing structure for the Voluntary Compliance Program (VCP) — but it’s not very responsive. READ MORE

By John Iekel 3/12/2018 • 0 Comments

The PBGC has proposed a rule that would conform its regulations to changes in the phase-in rules for owner-participants under the Pension Protection Act of 2006. READ MORE

By Nevin Adams 3/12/2018 • 0 Comments

Last fall, the FBI raided the offices of Vantage Benefits Administrators “amid concerns that money may be missing from retirement accounts the company manages.” Lawsuits brought by plans affected by the fraud now shed light on what went on. READ MORE

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