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 Iekel 3/9/2018 • 0 Comments

The DOL’s Employee Benefit Security Administration argues that audits, unwelcome though they may be, actually can be beneficial for a plan. READ MORE

By John Iekel 3/9/2018 • 0 Comments

A recent GAO study examines the challenges plan administrators face when dealing with lost plan participants and reporting foreign retirement savings, and reviews steps federal agencies might take to help. READ MORE

By John Iekel 3/9/2018 • 0 Comments

The IRS on March 9 said that it plans to issue opinion and advisory letters for certain master and prototype and volume submitter DB plans that were restated for changes in plan qualification requirements. READ MORE

By John Iekel 3/7/2018 • 0 Comments

The IRS on March 2 issued an updated version of Publication 575, “Pension and Annuity Income.” It is to be used in preparing 2017 income tax returns. READ MORE

By ASPPA Net Staff3/1/2018 • 0 Comments

Among the “myths” surrounding the fiduciary rule is that the rule will not be enforced during the transition period. But that’s not the whole story, Fred Reish notes in a recent blog post. READ MORE

By ASPPA Net Staff3/1/2018 • 0 Comments

The IRS has issued revised versions of Form 8915A, Qualified 2016 Disaster Retirement Plan Distributions and Repayments. READ MORE

By ASPPA Net Staff2/28/2018 • 0 Comments

Now is the time to get up-to-date on developments in Washington and their impact on retirement plans. Learn from someone in the know, Craig Hoffman, ARA’s General Counsel. READ MORE

By ASPPA Net Staff2/23/2018 • 0 Comments

April Fools Day is not far off, but the joke's on a plan that forgets the April 1 deadline for the first RMD to terminated vested participants who attained age 70½ in 2017 and to participants older than age 70½ who retired in 2017. READ MORE

By Andrew Remo2/23/2018 • 0 Comments

Concerned that the Labor Department’s fiduciary rule could be pared back, Maryland is considering extending fiduciary duty under state law. READ MORE

By John Iekel 2/22/2018 • 0 Comments

In a Feb. 21 letter to Acting IRS Commissioner David Kautter, Rep. Richard Neal (D-MA) has requested that the IRS reevaluate the new VCP user fees announced earlier this year. READ MORE

By ASPPA Net Staff2/21/2018 • 0 Comments

In a recent blog post, Fred Reish focuses on the issue of “reasonable compensation” and what, if any, changes will be made to that requirement. READ MORE

By Nevin Adams 2/20/2018 • 0 Comments

The Massachusetts Securities Division filed charges against Scottrade for knowingly violating its internal policies regarding DOL fiduciary rule implementation — which plaintiffs seeking to overturn that rule say validates their concerns. READ MORE

By Nevin Adams 2/15/2018 • 0 Comments

The Massachusetts Securities Division has filed charges against a firm for knowingly violating its internal policies regarding implementation of the DOL fiduciary rule — and taken a shot at the Department of Labor. READ MORE

By John Iekel 2/15/2018 • 0 Comments

The PBGC has proposed that some of its records systems be modified, some rescinded and new ones introduced. READ MORE

By John Iekel 2/13/2018 • 0 Comments

The IRS and Treasury have proposed a plan to streamline tax regulations, including some that are related to and affect retirement plans. READ MORE

By ASPPA Net Staff2/12/2018 • 0 Comments

In its FY 2019 budget request, the Securities and Exchange Commission is seeking a slight increase in funding for inspections and examinations. READ MORE

By John Iekel 2/12/2018 • 0 Comments

Many plan documents are requirements. So too, are fiduciary duties. Do the two intersect? READ MORE

By John Iekel 2/9/2018 • 0 Comments

The IRS and Treasury Department have issued an update to their joint 2017-18 Priority Guidance Plan. READ MORE

By Ted Godbout2/9/2018 • 0 Comments

The two-year budget agreement that Congress passed in the early morning hours of Friday, Feb. 9 includes several tax policy changes affecting retirement plans. READ MORE

By John Iekel 2/9/2018 • 0 Comments

The Feb. 8 ASPPA Washington Update for the first quarter of 2018 offered a look at a variety of current issues. READ MORE

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