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 Staff10/21/2015 • 0 Comments

As expected, most of the compensation limits for 2016 are unchanged, because the increase in the cost-of-living index did not meet the statutory thresholds that trigger their adjustment — but there were some increases in the rates the IRS released on Oct. 21. READ MORE

By ASPPA Net Staff10/15/2015 • 0 Comments

There will be no cost-of-living adjustment (COLA) for Social Security this year — a precursor of what can be expected for retirement plan contribution and benefit limits. READ MORE

By ASPPA Net Staff10/13/2015 • 0 Comments

W. Thomas Reeder, Jr., is the new Pension Benefit Guaranty Corporation (PBGC) Director; President Obama had sent his nomination of Reeder to the Senate on May 21, and the Senate in a voice vote confirmed him Oct. 8. READ MORE

By ASPPA Net Staff10/12/2015 • 0 Comments

The IRS and Treasury have taken steps that curb lump sum pension buyout offers by pension plans to those receiving ongoing payments; in a recent post on his “Nerd’s Eye View” blog, Michael Kitces offers his take on what these actions mean. READ MORE

By ASPPA Net Staff10/8/2015 • 0 Comments

Three former chairs of the Securities and Exchange Commission (SEC) said at a TD Ameritrade summit in Washington, D.C. on Oct. 6 that they want the agency they ran to join the effort to set a fiduciary rule. READ MORE

By ASPPA Net Staff10/8/2015 • 0 Comments

The Consumer Financial Protection Bureau and the Federal Trade Commission have taken steps to curb questionable practices concerning pension advance transactions, the Government Accountability Office (GAO) says in a report it recently issued. READ MORE

By John Ortman10/8/2015 • 0 Comments

Economist Robert Litan has responded on Forbes.com to accusations of conflicts of interest leveled the last week of September by Sen. Elizabeth Warren (D-Mass.) that cost him his position at the Brookings Institution. READ MORE

By Alisa Wolking10/6/2015 • 0 Comments

As the Department of Labor (DOL) finalizes new fiduciary regulations, members of Congress on both sides of the aisle are considering new legislation to address their concerns with DOL’s proposal. READ MORE

By ASPPA Net Staff10/6/2015 • 0 Comments

New legislation introduced in the Senate claims to shore up retirement security for women — but it’s got implications for plan design and administration. READ MORE

By ASPPA Net Staff10/5/2015 • 0 Comments

The IRS Tax Exempt & Government Entities Office has issued its priorities for fiscal year 2016; among them are plans that concern TEGE’s work with employee plans and with government entities and shared services. READ MORE

By ASPPA Net Staff10/2/2015 • 0 Comments

The IRS on Oct. 1 issued the instructions for filing the Form 5500-EZ, Annual Return of One-Participant (Owners and Their Spouses) Retirement Plan, for 2015. READ MORE

By ASPPA Net Staff10/2/2015 • 0 Comments

On Oct. 1, the American Retirement Association (ARA) submitted a comment letter in response to IRS Announcement 2015-19 in which the IRS requested comments regarding changes to the Employee Plans Determination Letter (DL) Program. READ MORE

By ASPPA Net Staff10/1/2015 • 0 Comments

Sen. Elizabeth Warren (D-Mass.) has expressed concerns about conflicts of interest in a study critical of the Labor Department’s fiduciary proposal — and that has forced the resignation of one of its authors. READ MORE

By ASPPA Net Staff10/1/2015 • 0 Comments

The House Financial Services has given a nod to a bill that would delay the Department of Labor from implementing the proposed fiduciary rule. H.R. 1090, the Retail Investor Protection Act, passed the committee in a 34-25 vote on Sept. 30. READ MORE

By ASPPA Net Staff9/30/2015 • 0 Comments

ERISA does not preempt the application of all federal laws and regulations to retirement plans — and that includes website privacy standards set by the Federal Trade Commission. READ MORE

By ASPPA Net Staff9/30/2015 • 0 Comments

In the latest issue of Employee Plans News, the IRS provides comprehensive access to information concerning forms, correcting mistakes, plans and more that have been updated since the last issue of the newsletter.
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By ASPPA Net Staff9/28/2015 • 0 Comments

The IRS on Sept. 23 released an updated set of instructions for Form 8950, Application for Voluntary Correction Program (VCP) Under the Employee Plans Compliance Resolution System (EPRCS). READ MORE

By ASPPA Net Staff9/28/2015 • 0 Comments

In “How Long Can You Hold Your Breath?,” a column that appeared in the Summer 2015 issue of Plan Consultant, David J. Witz argues that the statute of limitations under ERISA Section 413 provides a way to establish a documented process that a retirement plan committee can use to defend their decisions and mitigate the risk of litigation over claims for excessive fees. READ MORE

By ASPPA Net Staff9/28/2015 • 0 Comments

In “Are You Looking at Retirement Income Alternatives? The DOL and IRS Are,” a webcast that will be held on Sept. 30, W. Waldan Lloyd will review recent guidance authorizing the use of qualified longevity annuity contracts (QLACs) and their inclusion in target date funds as well as important related issues. READ MORE

By Nevin Adams9/24/2015 • 0 Comments

When it comes to workplace retirement plans, there are three kinds of people: those who are ERISA fiduciaries and know it, people who aren’t ERISA fiduciaries and know it, and people who are ERISA fiduciaries and don’t know it. READ MORE

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