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

3/24/2016 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) on March 23 issued a final rule amending its regulation on Annual Financial and Actuarial Information Reporting. READ MORE

By ASPPA Net Staff3/24/2016 • 0 Comments

One Annual Actuarial Certification is enough, thank you, the IRS reminds multiemployer plan actuaries. READ MORE

By Nevin Adams 3/21/2016 • 0 Comments

A recent ruling reminds us of the importance of ensuring that plan beneficiary designations are up to date — and that plans should have a documented procedure for how such changes are to take place. READ MORE

By Nevin Adams3/18/2016 • 0 Comments

For all the good press and positive results that automatic enrollment gets, one might well expect that every plan would embrace it. So, why don’t all plans use automatic enrollment — and what can you do about it? READ MORE

By Ray Harmon3/17/2016 • 0 Comments

At the March 16 meeting of the ERISA Advisory Council, Department of Labor Assistant Secretary for Employee Benefits Security Phyllis Borzi provided an update on the DOL’s proposed fiduciary rule, state-run plans initiatives, Form 5500 updates and more. READ MORE

By ASPPA Net Staff3/17/2016 • 0 Comments

The IRS on March 11 updated its web page on the Employee Plans Compliance Unit (EPCU) Non-Governmental 457(b) Plans Excess Deferrals Project. READ MORE

By Judy Miller3/16/2016 • 0 Comments

Buried in a recent Treasury Department regulation is a provision that will make it harder for small businesses to form new retirement plans or maintain their current ones. READ MORE

By ASPPA Net Staff3/11/2016 • 0 Comments

It may be grasping at straws, but two U.S. Senators have drawn an unfavorable connection between a planned research initiative by the Department of Labor and the agency’s appreciation for the impact of its pending fiduciary rule. READ MORE

By Andrew Remo3/11/2016 • 0 Comments

The Connecticut Retirement Security Board has introduced legislation that creates a state-run plan for the private sector and would force employers that already have retirement plans in place to enroll workers who do not have to be covered under ERISA in the state-run program. READ MORE

By ASPPA Net Staff3/10/2016 • 0 Comments

The IRS has made available the updated Form 5500-EZ and its instructions for 2015 reporting; these versions replace those the IRS made available Feb. 18. READ MORE

By ASPPA Net Staff3/9/2016 • 0 Comments

A lawsuit brought against the IRS over its handling of a company’s application to fix errors under the agency’s Voluntary Compliance Program (VCP) is advancing. READ MORE

By ASPPA Net Staff3/8/2016 • 0 Comments

A majority of plans are looking for ways to improve their funding, in part to avoid impending Pension Benefit Guaranty Corporation (PBGC) premium hikes, according to NEPC. READ MORE

By ASPPA Net Staff3/8/2016 • 0 Comments

IRS Employee Plans Division (EP) Director Robert Choi has issued a memo to EP determinations and examinations employees containing guidelines for reviewing multiemployer collectively bargained plans that provide for a normal retirement age earlier than 62, but not earlier than 55. READ MORE

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

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