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 Staff3/7/2016 • 0 Comments

It may be worth considering a review of hybrid plans to make sure they are in compliance with the final rules the IRS issued late in 2015. READ MORE

By ASPPA Net Staff3/7/2016 • 0 Comments

The latest issue of IRS Employee Plans News includes reminders regarding the compliance questions that had been added to the Form 5500, mid-year amendments to safe harbor 401(k) plans and notices and the 2015 reference lists. READ MORE

By Adam Pozek, Brian Furgala3/7/2016 • 0 Comments

Another testing season has come and gone, and it is time for ASPPA’s IRS Q&A Subcommittee to start gathering questions. READ MORE

By ASPPA Net Staff3/4/2016 • 0 Comments

Even as the publication of the Department of Labor’s (DOL) fiduciary rule nears, the GOP is gearing up to undermine the funding for its implementation. READ MORE

By ASPPA Net Staff3/4/2016 • 0 Comments

The IRS on March 3 issued an alert concerning a phishing email scheme that requests personal information concerning employees. READ MORE

By ASPPA Net Staff3/3/2016 • 0 Comments

A recent analysis cautions that, due to the prolific nature of cyberattacks, it may be difficult to argue that a prudent person would not consider and react to cyber risks. READ MORE

By ASPPA Net Staff3/3/2016 • 0 Comments

A recent paper suggests that it is best if the plan document reflects not only the letter of the law but also the operations by which those rules are met and applied. READ MORE

By ASPPA Net Staff3/3/2016 • 0 Comments

The Department of Labor is planning to study how retirement planning strategies and decisions evolve — and it would like to know what you think about the effort. READ MORE

By ASPPA Net Staff3/3/2016 • 0 Comments

In-plan Roth rollovers (IRRs) have been touted as the latest great tax-planning device for retirement; an upcoming ASPPA webcast will cover the intricacies involved in effecting an IRR. READ MORE

By ASPPA Net Staff3/2/2016 • 0 Comments

The Office of Management and Budget on March 1 received a proposal from the Department of Labor to revise the Form 5500, part of a long-term strategic effort three agencies are undertaking to modernize and improve the Form 5500. READ MORE

By ASPPA Net Staff3/2/2016 • 0 Comments

The Government Accountability Office has been looking into replacement rates — and it’s got some suggestions for the Department of Labor. READ MORE

By ASPPA Net Staff2/29/2016 • 0 Comments

On Jan. 29, the IRS released proposed regulations that are expected to significantly affect the design and economics of defined contribution plans that test for nondiscrimination on the basis of equivalent benefit accrual rates. READ MORE

By ASPPA Net Staff2/25/2016 • 0 Comments

On Feb. 23, the American Retirement Association filed a comment letter with the IRS suggesting enhancements that can be made to the IRS pre-approved plan program for plans subject to Internal Revenue Code Sections 401(a) or 403(b). READ MORE

By ASPPA Net Staff2/25/2016 • 0 Comments

Speaker of the House Paul Ryan (R-Wisc.) has now weighed in on the anticipated publication of the Department of Labor’s (DOL) fiduciary rule, claiming that “the bureaucrats bullied it through.”
READ MORE

By ASPPA Net Staff2/24/2016 • 0 Comments

A staff report from the Senate Committee on Homeland Security and Governmental Affairs sharply criticizes the Department of Labor’s (DOL) fiduciary proposal and what it described as a “flawed process” in handing down that rule. READ MORE

By ASPPA Net Staff2/24/2016 • 0 Comments

On Feb. 22, 2016, the American Retirement Association (ARA) filed a comment letter with the IRS regarding the new compliance questions to be added to the Form 5500, potentially for the 2016 plan year reports. READ MORE

By ASPPA Net Staff2/23/2016 • 0 Comments

The Securities and Exchange Commission (SEC) will proceed with its work on investment advice standards rules and oversight of advisors, SEC Chair Mary Jo White said Feb. 19 at the Practising Law Institute conference in Washington, D.C. READ MORE

By ASPPA Net Staff2/18/2016 • 0 Comments

The DOL is rolling out a new initiative focused on the defined benefit plans of a number of Fortune 500 companies, examining three key areas. READ MORE

By ASPPA Net Staff2/16/2016 • 0 Comments

A new report suggests that while early distributions from retirement plans are a cross-generational issue, it may be a bigger behavioral problem than is widely appreciated. READ MORE

By ASPPA Net Staff2/16/2016 • 0 Comments

For 2015, plan sponsors should skip the compliance questions that were just added to the Form 5500-SF. A revised version of the 2015 instructions for Form 5500-SF, Short Form Annual Return/Report of Small Employee Benefit Plan contains the new information regarding the optional questions. READ MORE

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