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 Nevin Adams11/1/2017 • 0 Comments

Apparently we’ll have to wait another day to find out what House Republicans have in mind for tax reform. READ MORE

By ASPPA Net Staff11/1/2017 • 0 Comments

The Federal Bureau of Investigation has raided the offices of Vantage Benefits Administrators “amid concerns that money may be missing from retirement accounts the company manages,” according to the Dallas Morning News. READ MORE

By ASPPA Net Staff10/31/2017 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) announced on Oct. 30 that the guarantee limits for single-employer plans that fail in 2018 will be 0.95% higher than the limits that applied for 2017. READ MORE

By John Iekel10/30/2017 • 0 Comments

The California Secure Choice Retirement Savings Investment Board has issued a request for proposal for investment consulting services. READ MORE

By John Iekel10/30/2017 • 0 Comments

IRS Employee Plans examiners have been told to not challenge a qualified plan for failing to satisfy RMD standards under certain circumstances. READ MORE

By Ted Godbout10/30/2017 • 0 Comments

If last week’s volley between President Trump and House Ways and Means Committee Chairman Kevin Brady (R-TX) over the potential Rothification of 401(k)s has you perplexed, rest assured, we should have some initial answers this week. READ MORE

By ASPPA Net Staff10/30/2017 • 0 Comments

The Oregon Retirement Savings Board has completed a second stage of rulemaking for OregonSaves, the state-run retirement plan that is approaching full implementation. READ MORE

By John Iekel10/30/2017 • 0 Comments

“All politics is local,” it has been said, and that principle holds for ERISA enforcement, too — at least according to an expert panel at the recent ASPPA Annual conference held in National Harbor, MD. READ MORE

By John Iekel10/27/2017 • 0 Comments

A recent blog entry points out that 401(k) loans may seem innocuous since a participant is taking money from his or her own account and repaying it to themselves, but they still entail risks and costs.
READ MORE

By ASPPA Net Staff10/27/2017 • 0 Comments

In a recent blog post on the fiduciary rule, Fred Reish notes that the fiduciary and best-interest standards of care, as well as the prohibited transaction rules, will have some unexpected effects. READ MORE

By John Iekel10/27/2017 • 0 Comments

The DOL means business regarding retirement plans’ compliance with applicable law and regulation, cautioned expert presenters at an Oct. 25 session of the ASPPA Annual Conference. READ MORE

By John Ortman 10/24/2017 • 0 Comments

Where does the DOL’s fiduciary rule stand? What might we expect in the future? ERISA attorney Fred Reish provided an update on the former and shared his thoughts on the latter in an Oct. 24 workshop at the 2017 ASPPA Annual Conference. READ MORE

By John Iekel10/24/2017 • 0 Comments

That’s a bit of wisdom more apropos for retirement plan professionals than they might have imagined even two months ago. Sudden events and rapid-fire regulatory guidance and adjustments have made recent months a challenge indeed, noted an expert panel at an Oct. 23 session at the 2017 ASPPA Annual Conference. READ MORE

By John Iekel10/20/2017 • 0 Comments

The IRS on Oct. 19 announced cost of living adjustments affecting dollar limitations for pension plans and other retirement-related items for tax year 2018. READ MORE

By ASPPA Net Staff10/18/2017 • 0 Comments

The PBGC has set flat-rate and variable rate premiums for 2018. READ MORE

By John Iekel10/18/2017 • 0 Comments

The PBGC announced on Oct. 16 that it is launching a new pilot program that will offer mediation in certain Termination Liability Collection and Early Warning Program cases. READ MORE

By Nevin Adams10/18/2017 • 0 Comments

The Department of Labor (DOL) continues to fight an attempt by at least one fiduciary rule opponent to pursue its case in court. READ MORE

By John Iekel10/17/2017 • 0 Comments

The IRS and the PBGC are providing relief from certain deadlines and requirements relevant to retirement plans for certain victims of the wildfires in California. READ MORE

By John Iekel10/13/2017 • 0 Comments

There have to be changes in the law, and “it needs to be done quickly,” argued former North Dakota Senator and Chairman of the Senate Budget Committee Kent Conrad at an Oct. 11 Bipartisan Policy Center event. READ MORE

By Nevin Adams10/13/2017 • 0 Comments

There’s an old saying that when you assume… well, here are six assumptions that can create real headaches for retirement plan fiduciaries. READ MORE

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