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 5/9/2018 • 0 Comments

The IRS has suggested that employers and organizations refresh IRA holders’ knowledge of, and attention to, what they can do and are required to do concerning their accounts. READ MORE

By Ted Godbout5/8/2018 • 0 Comments

As anticipated, the DOL has extended until further notice its temporary enforcement policy relating to its rule defining who is a fiduciary and the associated prohibited transaction exemptions. READ MORE

By ASPPA Net Staff5/8/2018 • 0 Comments

One of the most vocal critics of the Labor Department’s fiduciary rule is leaving the Securities and Exchange Commission — with a mammoth advice proposal out for public comment. READ MORE

By John Iekel 5/7/2018 • 0 Comments

An expert panel at a session of the PSCA Annual Conference discussed ways retirement plans and those who serve them can address challenges to retirement security. READ MORE

By John Iekel5/4/2018 • 0 Comments

Rules for fiduciaries – and what the term itself even means – figured prominently in a May 2 session of the Plan Sponsor Council of America Annual Conference in Scottsdale, AZ. READ MORE

By Ted Godbout5/2/2018 • 0 Comments

How do you increase retirement security for 80 million 401(k) account owners? READ MORE

By Ted Godbout4/29/2018 • 0 Comments

Leading ERISA legal minds believe the SEC’s proposals to establish new standards of conduct for broker-dealers and investment advisers still need a lot of work. READ MORE

By Nevin Adams4/29/2018 • 0 Comments

Sometimes the hype surrounding a new blockbuster is so compelling that it builds up expectations beyond the reality; doubtless that was the sense of many in reading the Best Interest Regulation proposal published by the SEC. READ MORE

By John Iekel 4/27/2018 • 0 Comments

The U.S. Court of Appeals for the 8th Circuit has upheld a ruling by the U.S. Tax Court that a DB plan sponsor owed excise taxes and additions to tax related to its operation of the plan. READ MORE

By ASPPA Net Staff4/27/2018 • 0 Comments

The Wall Street Journal reports that the Labor Department is examining whether Wells Fargo has been pushing participants to move money from their 401(k)s into more expensive IRAs at the bank. READ MORE

By Ted Godbout4/27/2018 • 0 Comments

Fearing that the current administration will not defend the fiduciary rule, AARP on April 26 filed a motion to intervene, seeking an en banc review of a divided panel ruling by the U.S. Court of Appeals for the 5th Circuit. READ MORE

By Nevin Adams 4/27/2018 • 0 Comments

Three states have now entered the fiduciary rule litigation arena, claiming that they “can no longer rely on DOL to adequately represent their interests.” READ MORE

By ASPPA Net Staff4/27/2018 • 0 Comments

The Internal Revenue Service has announced relief for taxpayers (and arguably for plan sponsors) regarding a reduction in the 2018 maximum contribution limits for health savings accounts (HSAs). READ MORE

By Brian Graff4/26/2018 • 0 Comments

The 21st Century is nearly two decades old — so why are we still relying on 17th Century technology for critical participant communications? READ MORE

By ASPPA Net Staff4/26/2018 • 0 Comments

A long-time proponent of the Labor Depatment’s fiduciary rule is planning to challenge the recent 5th Circuit decision to vacate the rule. READ MORE

By Ted Godbout4/25/2018 • 0 Comments

Speculation continues to swirl on whether the Department of Labor will appeal the ruling by the 5th U.S. Circuit Court of Appeals vacating the fiduciary rule, but time is running short. READ MORE

By Nevin Adams4/25/2018 • 0 Comments

While reiterating some long-standing positions on socially responsive investing, the DOL has some new cautions about an ESG emphasis in plan design and proxy voting. READ MORE

By ASPPA Net Staff4/19/2018 • 0 Comments

At an April 9 session at this year’s Enrolled Actuaries meeting in Washington, DC, longtime ASPPA members Richard Block and Kevin Donovan addressed the complexities of testing defined benefit and defined contribution plans on a combined basis. Many thanks to Richard and Kevin for correcting our original report. The corrected version follows. READ MORE

By Nevin Adams 4/19/2018 • 0 Comments

Despite the 4-1 vote by the SEC to release for public comment its fiduciary proposals, the commissioners apparently (still) have issues with the current version. READ MORE

By Andrew Remo4/19/2018 • 0 Comments

The SEC commissioners voted 4-1 to release for public comment a set of proposals to “enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products.” READ MORE

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