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 John Iekel7/1/2017 • 0 Comments

The IRS has made some changes to how it deals with pre-approved plans, hoping to encourage employers to switch from individually designed plans to the pre-approved format. READ MORE

By Nevin Adams 6/30/2017 • 0 Comments

The DOL has issued its request for comments on a potential delay in the Jan. 1, 2018, applicability date of certain provisions of the fiduciary regulation — but it’s a short window. READ MORE

By John Iekel6/30/2017 • 0 Comments

The public sector's response to cybercrime to protect its retirement plans and participants is not uniform, a recent report suggests.
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By Nevin Adams 6/22/2017 • 0 Comments

There’s an old regulation that has new meaning under the new fiduciary regulation — and it could catch new fiduciaries, as well as broker-dealers by surprise. READ MORE

By John Iekel6/22/2017 • 0 Comments

The Oregon Retirement Savings Program on June 22 filed a temporary amendment to its program rules with the Oregon Secretary of State’s office. The amendment modifies language related to enrollment. READ MORE

By ASPPA Net Staff6/21/2017 • 0 Comments

The American Retirement Association on June 20 filed a comment letter on items to be included in the 2017-2018 IRS guidance plan. The letter was in response to IRS Notice 2017-28. READ MORE

By ASPPA Net Staff6/19/2017 • 0 Comments

In a recent blog post, Fred Reish says that one of the FAQs the DOL issued concerning the fiduciary rule "raises some significant issues” for broker-dealers and RIAs. READ MORE

By ASPPA Net Staff6/19/2017 • 0 Comments

The DOL fiduciary rule — at least significant parts of it — has now been implemented. A recent analysis offers an assessment of where things stand. READ MORE

By ASPPA Net Staff6/15/2017 • 0 Comments

The PBGC has issued a final rule on interest rate assumptions affecting benefits payable in terminated single-employer plans and allocation of assets in single-employer plans. READ MORE

By ASPPA Net Staff6/13/2017 • 0 Comments

Concerns about retirement and health care loom large for American workers and the U.S. Senate is reportedly close to its version of a health care reform bill. We need your help ASAP to tell Congress to make it easier for workers to manage their health and retirement savings. READ MORE

By John Iekel6/12/2017 • 0 Comments

It’s heeeeere. But for many practitioners, practices and firms that read the tea leaves, the fiduciary rule has been a reality for a while and already has shaped what they do and how they do it.
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By ASPPA Net Staff6/12/2017 • 0 Comments

In a June 8 letter, the ARA offered comments on the guidance contained in IRS Notice 2016-16 concerning mid-year amendments to safe harbor 401(k) and 403(b) plans. READ MORE

By ASPPA Net Staff6/9/2017 • 0 Comments

The IRS has announced that on June 15, those requesting PLRs, closing agreements and certain other rulings must make user fee payments electronically. READ MORE

By Ted Godbout6/9/2017 • 0 Comments

The House approved legislation on June 8 that seeks to repeal major provisions of the Dodd-Frank Act, as well as the DOL’s now-effective fiduciary rule. READ MORE

By John Iekel6/8/2017 • 0 Comments

No tropical systems are near the U.S. yet, but it can be helpful to review ways that plan sponsors and their service providers can prepare… just in case. READ MORE

By Nevin Adams6/7/2017 • 0 Comments

The DOL has taken its first step in the review of the fiduciary regulation ordered by President Trump earlier this year. READ MORE

By John Iekel6/6/2017 • 0 Comments

Newly minted SEC Chairman Clayton welcomes the DOL's invitation to look at the standards of conduct that are at the core of the DOL’s fiduciary rule. READ MORE

By John Iekel6/5/2017 • 0 Comments

The Supreme Court ruled unanimously in a decision it handed down June 5 that religiously affiliated non-profits’ plans are exempt from ERISA even if they were not originally established by a church. READ MORE

By ASPPA Net Staff5/31/2017 • 0 Comments

As many as one-third of the U.S. workforce is said to be currently engaged in temporary, contract or on-demand work — and new legislation would set aside funding to study alternatives. READ MORE

By ASPPA Net Staff5/31/2017 • 0 Comments

The PBGC would have billions more to work with under the federal FY 2018 budget proposal unveiled May 23. READ MORE

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