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 Nevin Adams2/12/2016 • 0 Comments

Two powerful congressional voices have taken several financial services firms to task for characterizing the Department of Labor’s fiduciary rule proposal as “unworkable” with dire consequences if enacted — while painting a very different picture for their investors. READ MORE

By ASPPA Net Staff2/11/2016 • 0 Comments

The IRS has proposed additional limitations on suspension of benefits applicable to certain pension plans under the Multiemployer Pension Reform Act of 2014 (MPRA). READ MORE

By ASPPA Net Staff2/10/2016 • 0 Comments

Increased longevity is good news, but for pension plans it creates more stress — it spells greater drain and heightens the likelihood that plans will pay benefits for a longer period.

By Andrew Remo2/10/2016 • 0 Comments

The Obama administration’s final budget wasn’t a complete retread of its prior retirement plan proposals, but there wasn’t much good news for employer-sponsored retirement plans. READ MORE

By ASPPA Net Staff2/8/2016 • 0 Comments

Wrapping up a first week of February with action on legislation designed to block, slow or thwart the Department of Labor’s (DOL) fiduciary rule, the U.S. Senate finally got into the act with two pieces of legislation. READ MORE

By Martella Joseph2/5/2016 • 0 Comments

The American Retirement Association’s Legislative Relations Committee (LRC) has developed more than 30 legislative proposals contained in a document, entitled “Proposals to Enhance the Private Retirement Plan System,” to improve the administration and operation of plans. READ MORE

By ASPPA Net Staff2/4/2016 • 0 Comments

The U.S. Chamber of Commerce has made suggestions in a recent paper for ways to bolster the private-sector retirement system. READ MORE

By ASPPA Net Staff2/4/2016 • 0 Comments

The Winter 2016 issue of Plan Consultant magazine, now available on ASPPA Net, marks the start of ASPPA’s 50th anniversary year with a cover story that recaps ASPPA’s first five decades. READ MORE

By ASPPA Net Staff2/4/2016 • 0 Comments

The latest issue of Employee Plans News, a periodic IRS newsletter, highlights recent developments concerning the IRS Employee Plans Determination Letter Program, as well as links to recent guidance and updated forms and publications. READ MORE

By ASPPA Net Staff2/3/2016 • 0 Comments

The Department of Labor has filed suit against the International Association of Machinists National Pension Fund and its board of trustees, seeking a court order requiring them to restore any losses the fund suffered due to alleged ERISA violations and requiring the fund to implement reforms. READ MORE

By ASPPA Net Staff2/3/2016 • 0 Comments

When an employee retires, that’s the end of the connection between the ex-employee and the former employer’s plan. Right? Not necessarily, say researchers at PIMCO. READ MORE

By Alisa Wolking2/3/2016 • 0 Comments

As the Department of Labor (DOL) moves forward with its new fiduciary standard, lawmakers in the U.S. House of Representatives are working on legislation to address concerns that the final DOL proposal will harm access to retirement savings advice. READ MORE

By Judy Miller1/31/2016 • 0 Comments

The Senate Finance Committee held a hearing Jan. 28 on “Helping Americans Prepare for Retirement: Increasing Access, Participation and Coverage in Retirement Savings Plans.” READ MORE

By ASPPA Net Staff1/29/2016 • 0 Comments

The IRS in Notice 2016-16, issued Jan. 29, provides guidance on mid-year changes to a safe harbor plan under Internal Revenue Code Sections 401(k) and 401(m). READ MORE

By ASPPA Net Staff1/29/2016 • 0 Comments

Tomato, tomahto. Split an atom, terminate a pension plan. A recent blog post suggests they may not be as different as they seem. READ MORE

By Nevin Adams1/29/2016 • 0 Comments

Neither rain, nor snow, nor dark of night could keep the Labor Department from getting the updated conflict-of-interest/fiduciary regulation to the Office of Management and Budget for review. READ MORE

By ASPPA Net Staff1/28/2016 • 0 Comments

In a Jan. 25 telephone interview with reporters, Labor Secretary Thomas Perez said that the Department of Labor hopes that work on the proposed fiduciary rule will be completed “in the coming months.” READ MORE

By ASPPA Net Staff1/26/2016 • 0 Comments

The IRS has issued a proposed rule on the determination of whether the normal retirement age under a governmental pension plan satisfies Internal Revenue Code requirements and whether paying definitely determinable benefits starting at the plan’s normal retirement age satisfies them. READ MORE

By ASPPA Net Staff1/26/2016 • 0 Comments

The point has often been made that retirement plan tax “preferences” are a deferral of taxes, not a deduction — and now the Congressional Budget Office has estimated that impact on the nation’s Gross Domestic Product. READ MORE

By Nevin Adams1/26/2016 • 0 Comments

A recent Supreme Court ruling may have implications for retirement plan overpayment recoveries. READ MORE

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