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 Staff5/30/2017 • 0 Comments

Federal employees’ COLAs would be eliminated under the fiscal year 2018 budget proposal released by the White House on May 23. READ MORE

By ASPPA Net Staff5/25/2017 • 0 Comments

For some, a statute of limitations no doubt comes in handy. But that does not include employers that are required to file the Form 5500. A recent article argues that compliance costs less than delinquency may. READ MORE

By Nevin Adams5/23/2017 • 0 Comments

The Department of Labor (DOL) has published a new set of FAQs about the fiduciary regulation, these focused on the so-called “transition period” from June 9, 2017 to Jan. 1, 2018. READ MORE

By Nevin Adams 5/23/2017 • 0 Comments

Secretary of Labor Alexander Acosta is now on record saying he won’t delay implementation of the fiduciary regulation. READ MORE

By ASPPA Net Staff5/22/2017 • 0 Comments

Citing an ARA report, three Senate Democrats have pressed Secretary of Labor Alexander Acosta regarding comments that he wanted to find a way to freeze the fiduciary rule and make it “stick.” READ MORE

By John Iekel5/22/2017 • 0 Comments

Recent blog entries offer a way to dispel the fog for plan participants who may be confused about retirement planning and its importance. READ MORE

By John Iekel5/19/2017 • 0 Comments

Choosing between a lump sum and regular, smaller payments over a long period is only the beginning — there are other moving parts to the process, and many considerations. READ MORE

By Nevin Adams 5/19/2017 • 0 Comments

There are lots of reasons why people get behind in their retirement savings — and one very helpful way that older workers can make up for lost time and catch up. READ MORE

By Ray Harmon5/19/2017 • 0 Comments

A congressional hearing on “Regulatory Barriers Facing Workers and Families Saving for Retirement” ran the gamut from the fiduciary regulation to multiple employer plans to state-run programs. READ MORE

By John Iekel5/17/2017 • 0 Comments

PBGC premiums are an important — and growing — concern for DB plans, their administrators and their sponsors, but there are questions about what they pay for. READ MORE

By ASPPA Net Staff5/15/2017 • 0 Comments

Having dealt with the requirements of ERISA’s prudent man rule and of the best-interest standard of care for IRAs and plans, noted ERISA attorney Fred Reish now examines the requirements of the two prohibited transaction exemptions. READ MORE

By Nevin Adams5/12/2017 • 0 Comments

One of the more novel legal arguments opposing the fiduciary regulation has resurfaced in an amicus (friend of the court) filing. READ MORE

By John Iekel5/11/2017 • 0 Comments

The PBGC has had solvency problems, but its condition improved somewhat in 2016, according to new data. READ MORE

By ASPPA Net Staff5/11/2017 • 0 Comments

Labor Secretary Alexander Acosta says the DOL's fiduciary rule is his number one priority, and that he is actively seeking a way to freeze the rule that will “stick.” READ MORE

By ASPPA Net Staff5/11/2017 • 0 Comments

Concerned about reports that the DOL’s delay of the fiduciary rule was crafted to undermine President Trump’s directive to reexamine the rule’s impact, House Republicans want answers and face time. READ MORE

By ASPPA Net Staff5/9/2017 • 0 Comments

Its efforts having fallen short in the courts, a trade group has launched a grassroots campaign to derail the Labor Department’s fiduciary regulation. READ MORE

By John Iekel5/5/2017 • 0 Comments

Oregon Treasurer Tobias Read has expressed determination to continue pursuing OregonSaves regardless of the U.S. Senate’s passage of H.J. Res. 66. READ MORE

By ASPPA Net Staff5/5/2017 • 0 Comments

Choosing an auditor to review a retirement plan is a fiduciary duty. A recent blog post offers some ideas on how to make sure the audit is one that will pass muster with the DOL. READ MORE

By John Iekel5/5/2017 • 0 Comments

The DOL's fiduciary rule has been bouncing around official Washington for years, but it may not matter that its fate is still unclear — the spirit of the rule already may be taking hold. READ MORE

By ASPPA Net Staff5/5/2017 • 0 Comments

For the rest of this year — the “transition period” — most firms will use either the Best Interest Contract Exemption or (more likely) the “transition” version. What will that mean for you? READ MORE

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