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 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

By ASPPA Net Staff4/4/2016 • 0 Comments

As the industry anticipates publication of the Labor Department’s fiduciary regulation this week, the Office of Management and Budget (OMB) has finished its review, according to a posting on the OMB’s website. READ MORE

By ASPPA Net Staff4/4/2016 • 0 Comments

The Pension Benefit Guaranty Corporation Multiemployer Program will run out of money in less than 20 years, says a new report by the PBGC. Its prescription: higher premiums. READ MORE

By ASPPA Net Staff4/4/2016 • 0 Comments

The drafting, redrafting, comment, revision, lather rinse repeat of the DOL fiduciary rule has been a protracted process. As we appear to be on the brink of its introduction, it’s interesting to consider how much time it may take to comply. READ MORE

By ASPPA Net Staff4/1/2016 • 0 Comments

For weeks, rumors have swirled as to when the Labor Department would unveil its new fiduciary regulation — but that long wait could be coming to an end. READ MORE

By Andrew Remo4/1/2016 • 0 Comments

Despite some persistent rumors and underhanded marketing to the contrary, the Illinois Secure Choice Savings Program Act provides that employers that already have a retirement plan are excluded from the law. READ MORE

By Nevin Adams 4/1/2016 • 0 Comments

Sen. Elizabeth Warren (D-Mass.) is turning up the heat on financial services firms that have opposed the Department of Labor’s (DOL) pending fiduciary regulation. READ MORE

By ASPPA Net Staff3/31/2016 • 0 Comments

The IRS on March 31 invited comments on changes that have been proposed to the Form 5500 and several of its schedules, as well as the Form 5500-SUP, for information reporting concerning the 2016 plan year. READ MORE

By ASPPA Net Staff3/28/2016 • 0 Comments

No fooling — some retirees and IRA holders must take required minimum distributions (RMDs) by April 1. READ MORE

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

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