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 John Iekel9/21/2017 • 0 Comments

A sharper focus on how fiduciary duties are discharged and a heightened awareness of how one is performing such functions will not go away anytime soon; a recent paper discusses fiduciary risk and management. READ MORE

By Nevin Adams 9/21/2017 • 0 Comments

In about a month, the IRS will announce the new contribution and benefit limits for 2018 — and that could be good news even for those who don’t bump against those thresholds. READ MORE

By ASPPA Net Staff9/20/2017 • 0 Comments

Legislation that would repeal the DOL’s fiduciary rule would have a negligible effect on federal revenues, say multiple cost estimates. READ MORE

By ASPPA Net Staff9/18/2017 • 0 Comments

The DOL has extended the employee benefit plan compliance guidance and relief it issued for victims of Hurricane Harvey to those affected by Hurricane Irma. READ MORE

By John Iekel9/18/2017 • 0 Comments

The PBGC has issued guidance that provides an alternative method for determining whether an active participant reduction due to attrition must be reported to it. READ MORE

By ASPPA Net Staff9/14/2017 • 0 Comments

The U.S. House on Sept. 14 passed a bill that contains a sentence that seeks to do away with the fiduciary regulation — with language that some might find eerily prophetic. READ MORE

By John Iekel9/14/2017 • 0 Comments

The PBGC says in Disaster Relief Announcement 17-11 that in response to Hurricane Irma it is waiving certain penalties and extending certain deadlines in qualifying parts of Florida. READ MORE

By ASPPA Net Staff9/13/2017 • 0 Comments

The IRS, DOL and PBGC have granted relief to certain victims of Hurricanes Harvey and Irma. But House Ways and Means Chairman Kevin Brady (R-TX) may try to do what they cannot. READ MORE

By ASPPA Net Staff9/13/2017 • 0 Comments

The American Retirement Association, parent organization of ASPPA, has weighed in on extending the special transition period under the Best Interest Contract Exemption (and related exemptions). READ MORE

By John Iekel9/13/2017 • 0 Comments

The IRS, Department of Labor and Pension Benefit Guaranty Corporation (PBGC) have announced fresh relief for victims of Hurricane Irma — as well as those of still very recent Hurricane Harvey. READ MORE

By John Iekel9/7/2017 • 0 Comments

Plans, employers, service providers and administrators can act to protect plans and those they serve from the effects of hurricanes and natural disasters; the IRS and the DOL provide tips. READ MORE

By Nevin Adams9/7/2017 • 0 Comments

Sen. Elizabeth Warren (D-MA) says that financial firms are “fully ready” to comply with the fiduciary rule — and you don’t need to take her word for it. READ MORE

By John Iekel9/6/2017 • 0 Comments

The IRS has announced that it is extending the temporary nondiscrimination relief for closed defined benefit plans. READ MORE

By ASPPA Net Staff9/6/2017 • 0 Comments

So what plans ARE covered by the fiduciary rule? A recent blog post addresses that question, as well as which plans the rule does not cover. READ MORE

By ASPPA Net Staff9/6/2017 • 0 Comments

The IRS has taken action to address more than 700 erroneous extension request approvals it issued recently. READ MORE

By ASPPA Net Staff9/1/2017 • 0 Comments

Labor Secretary Alexander Acosta will meet Sept. 5 with representatives of companies that oppose the Obama administration’s fiduciary rule, according to a published report. READ MORE

By John Iekel8/31/2017 • 0 Comments

The Oregon Treasury has unveiled a proposal to modify the Oregon State Retirement Program. READ MORE

By Nevin Adams8/31/2017 • 0 Comments

The Labor Department says it won’t enforce a provision of the fiduciary rule’s arbitration ban. READ MORE

By John Iekel8/30/2017 • 0 Comments

Less than 24 hours after the American Retirement Association requested it, the IRS has granted relief to taxpayers affected by Hurricane Harvey. READ MORE

By Nevin Adams8/30/2017 • 0 Comments

The Labor Department has made its proposed delay in the full application of the Best Interest Contract Exemption till July 1, 2019 official. READ MORE

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