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 Adams6/11/2018 • 0 Comments

Another provider has been sued by an employee-participant in its own 401(k) plan, not just for its inclusion of proprietary funds, but the type and number of options on its menu — and its target-date strategy. READ MORE

By John Iekel 6/11/2018 • 0 Comments

The IRS determination letter program and what to do about missing participants were among the topics the Employee Plans Subgroup of the IRS Advisory Committee on Tax Exempt and Government Entities addressed in the general report it issued on June 7. READ MORE

By ASPPA Net Staff6/10/2018 • 0 Comments

The SEC’s proposed Regulation Best Interest is remarkable in its similarities to the DOL’s vacated Best Interest Contract Exemption – or so Fred Reish thinks. READ MORE

By Ted Godbout6/10/2018 • 0 Comments

President Trump has nominated Senate Banking Committee aide Elad Roisman to serve as a Republican member of the SEC. READ MORE

By Nevin Adams 6/8/2018 • 0 Comments

The ARA has filed formal comments concerning a regional office of EBSA that has been threatening enforcement actions against plan sponsors who correct the late deposit of participant contributions or loan repayments without making a formal VFCP submission. READ MORE

By John Iekel 6/8/2018 • 0 Comments

The official hurricane season has just begun — and it can be helpful to a service provider and plan administrator to prepare… just in case. READ MORE

By Nevin Adams6/7/2018 • 0 Comments

The victorious plaintiffs in litigation vacating the DOL's fiduciary rule would like the U.S. Court of Appeals for the 5th Circuit to put the rule — and the financial services industry at large — out of its collective "misery." READ MORE

By John Iekel 6/6/2018 • 0 Comments

In a June 4, 2018 comment letter to the IRS, the ARA recommended that the IRS expand its determination letter program to cover specific situations. READ MORE

By Nevin Adams 6/6/2018 • 0 Comments

Following a House subcommittee hearing, the Chairman and Ranking Member want some answers from the IRS on changes that dramatically increased the cost to small plans of correcting plan mistakes. READ MORE

By Ted Godbout6/6/2018 • 0 Comments

The SEC has approved a proposal that it says will improve the method for delivering fund shareholder reports to investors in mutual funds, ETFs and other investment funds. READ MORE

By John Iekel 6/1/2018 • 0 Comments

The PBGC says in its FY 2017 PBGC Projections Report that it expects that its single-employer and multiemployer insurance programs will have sharply different results in coming years. READ MORE

By John Iekel 5/31/2018 • 0 Comments

The IRS has clarified that federal income tax withholding and Form 1099-R reporting generally apply for the year a payment is made, as required by state law, from an IRA to a state unclaimed property fund. READ MORE

By Ted Godbout5/30/2018 • 0 Comments

TPAs serving 401(k) plans may want to remind their clients that they should review and update their “special tax notices” in the wake of changes to the plan loan offset rules under last year’s tax reform legislation. READ MORE

By John Iekel 5/24/2018 • 0 Comments

Robert Kaplan, the American Retirement Association’s Director of Technical Education, provided a look at recent regulatory and legislative developments in a May 22 ASPPA webcast. READ MORE

By John Iekel 5/23/2018 • 0 Comments

The IRS is now accepting applications for opinion letters for pre-approved DC plans for the third six-year remedial amendment cycle. READ MORE

By Ted Godbout5/23/2018 • 0 Comments

For the second time in as many days, the 5th Circuit has denied a motion to reconsider its decision denying three states’ motion to intervene in litigation involving the DOL's fiduciary rule. READ MORE

By Andrew Forgrave5/23/2018 • 0 Comments

The ACOPA Chicago Symposium is coming up! READ MORE

By Nevin Adams5/22/2018 • 0 Comments

Five key Senate Democrats are concerned about the DOL's current lack of defense of the fiduciary rule — and they want to know what the DOL plans to do going forward. READ MORE

By John Iekel 5/21/2018 • 0 Comments

For a TPA, plan administrator, employer or plan sponsor, uncashed checks are a problem; recent blog entries make some suggestions regarding how to help make sure they don’t happen in the first place. READ MORE

By ASPPA Net Staff5/18/2018 • 0 Comments

The PSCA's 2018 Annual Conference May 1-2 featured the insights of experts on issues critical to retirement plan sponsors and industry professionals. ASPPA Connect was there; following are the stories that provide a taste of those insights. READ MORE

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