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 Staff4/27/2016 • 0 Comments

The IRS on April 26 in Revenue Procedure 2016-27 issued revised procedures for applications for a suspension of benefits under a multiemployer defined benefit pension plan that is in critical and declining status. READ MORE

By ASPPA Net Staff4/26/2016 • 0 Comments

A new survey of 117 retirement plan service providers by the SPARK Institute found that nearly 80% are still evaluating risks and requirements of the regulations, and 60% indicated that key parts of the regulation are still not clear. READ MORE

By Nevin Adams 4/22/2016 • 0 Comments

I was recently asked by a reporter if the new fiduciary regulation was “needed.” The question caught me a bit off guard, because having been in “figure out how to deal with this” mode for most of the past year, I had long since moved past “why” and “if” to “when” and “how.” READ MORE

By ASPPA Net Staff4/22/2016 • 0 Comments

The Congressional Budget Office has issued a report saying that two House bills that would require congressional approval of the DOL fiduciary rule and would provide alternative fiduciary protection for consumers would have a negligible effect on federal revenues.

By Nevin Adams 4/21/2016 • 0 Comments

Sure you do — and we’ve developed a way for you to ask the Labor Department. READ MORE

By ASPPA Net Staff4/21/2016 • 0 Comments

A group of Republican senators has introduced a resolution to stop the Department of Labor’s new conflict-of-interest rule. READ MORE

By ASPPA Net Staff4/20/2016 • 0 Comments

The fiduciary regulation may be final, but a trio of Republican lawmakers have introduced a resolution to block it. READ MORE

By ASPPA Net Staff4/15/2016 • 0 Comments

Some retirees and IRA holders who turned age 70½ in 2015 had to take required minimum distributions by April 1; others must take them by New Year’s Eve. FINRA has taken the opportunity to update its treatment of common questions about RMDs and IRAs. READ MORE

By ASPPA Net Staff4/14/2016 • 0 Comments

The IRS website has a wealth of resources for retirement plan professionals. Nonetheless, it can be difficult to find the information one needs on the site; however, there are ways to find what one needs. READ MORE

By Nevin Adams 4/14/2016 • 0 Comments

In a major win for small business retirement plans and the efforts of ARA GAC, the Treasury Department and IRS have decided to withdraw certain provisions of proposed regulations relating to the nondiscrimination rules for cross-tested plans. READ MORE

By ASPPA Net Staff4/13/2016 • 0 Comments

Everyone is well aware of the need for cybersecurity and protecting the privacy of data. But there is an additional concern for retirement plan fiduciaries — they are important to fulfilling fiduciary duty. READ MORE

By ASPPA Net Staff4/13/2016 • 0 Comments

Third-party administrators (TPAs) got some good news, and some much-need clarity, in the final fiduciary regulation. READ MORE

By ASPPA Net Staff4/12/2016 • 0 Comments

The Department of Labor issued the final fiduciary rule on April 6; ASPPA will hold a webcast on April 14 to help plan administrators understand what it means and how they will be affected. READ MORE

By ASPPA Net Staff4/12/2016 • 0 Comments

When life hands you lemons, make lemonade — and recent assessments suggest that the maxim may even apply for those who anticipate that the fiduciary rule the DOL released may create challenges.

By Nevin Adams4/7/2016 • 0 Comments

A provision in the Department of Labor’s 2015 proposed fiduciary rule that would have had a significant impact on participant education has been modified in the final rule issued April 6. The revised provision aligns with recommendations made by the American Retirement Association. READ MORE

By Nevin Adams 4/6/2016 • 0 Comments

After a five-month comment period, public hearings, more than 3,000 comment letters, 300,000 petitions, and more than 100 meetings, nearly a year to the day that the Department of Labor unveiled its “Conflicts of Interest” proposal, we have a final fiduciary regulation. READ MORE

By Nevin Adams 4/6/2016 • 0 Comments

In a big win for the advocacy efforts of the American Retirement Association, the Department of Labor’s (DOL) final fiduciary regulation provides a streamlined exemption for “level-to-level” advisor compensation. READ MORE

By ASPPA Net Staff4/5/2016 • 0 Comments

The IRS has found discriminatory plan designs among some defined benefit and defined contribution plans, as well as DB/DC combination plans. READ MORE

By ASPPA Net Staff4/5/2016 • 0 Comments

The IRS is providing a new option that allows financial institutions service providers that offer a plan document to request a closing agreement on behalf of all adopters that missed the deadline for adopting a pre-approved plan. READ MORE

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