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 Andrew Remo4/18/2018 • 0 Comments

Members of a House subcommittee pressed IRS representatives this week to explain their recent decision to dramatically increase the cost to small businesses of remedying retirement plan mistakes. READ MORE

By John Iekel 4/17/2018 • 0 Comments

The PBGC on April 17 announced that minor changes to its standard and distress termination forms and instructions have been approved by the Office of Management and Budget. READ MORE

By John Ortman4/16/2018 • 0 Comments

American Retirement Association CEO Brian Graff unveiled plans April 15 to address the expensive and outdated ERISA requirement to disclose information to 401(k) participants in paper form. READ MORE

By Ted Godbout4/13/2018 • 0 Comments

As workers become more highly mobile, and frequently change jobs and homes, the task of finding missing plan participants can be a time-consuming and difficult process for plan sponsors. READ MORE

By John Iekel 4/13/2018 • 0 Comments

On April 11 at the Enrolled Agents Meeting held in Washington, DC, PBGC officials discussed compliance issues regarding single-employer plans, with a focus on late filings and missing participants. READ MORE

By Ted Godbout4/12/2018 • 0 Comments

New York State’s Attorney General reached agreement with several large mutual fund firms to make information relating to their actively managed equity funds readily accessible and is calling on others to follow suit. READ MORE

By Nevin Adams 4/12/2018 • 0 Comments

Scottrade wants to make a federal case out of an administrative proceeding filed by Massachusetts alleging violations of internal policies adopted in anticipation of the Labor Department’s fiduciary rule. READ MORE

By John Iekel 4/11/2018 • 0 Comments

The IRS and Treasury Department are “making progress” on guidance regarding missing participants, according to a panelist at an April 11 session of the Enrolled Actuaries meeting held in Washington, DC. READ MORE

By John Iekel4/11/2018 • 0 Comments

An April 9 session of the Enrolled Actuaries Meeting held by the Conference of Consulting Actuaries and the American Academy of Actuaries touched on the rules for required minimum distributions (RMDs) and what “required” entails in that context regarding benefits. READ MORE

By John Iekel 4/6/2018 • 0 Comments

Recent discussions about 401(k) loans look at the scale of the practice, the consequences and what a plan may consider concerning a policy for them.

By Robert Toth4/6/2018 • 0 Comments

The Tax Cuts and Jobs Act’s participant loan changes trigger the “uncomfortable” manner in which ERISA’s fiduciary rules apply to loans and their administration. READ MORE

By Ted Godbout4/6/2018 • 0 Comments

Twenty years after the last major IRS overhaul, key members of Congress believe the agency is long overdue for a makeover and needs to return to its “service first” mission. READ MORE

By John Iekel 4/5/2018 • 0 Comments

The IRS is requesting comments on the potential expansion of the scope of the determination letter program for individually designed plans during the 2019 calendar year. READ MORE

By John Iekel 4/5/2018 • 0 Comments

The PBGC issued guidance on April 3 to assist multiemployer pension plans that request its review of alternative plan rules for satisfying employer withdrawal liability. READ MORE

By John Iekel 4/4/2018 • 0 Comments

The ARA on April 4 filed a comment letter with the IRS to recommend modifications to EPCRS that would expand the use of the SCP and reduce the burden the VCP’s new pricing structure imposes on small business plans. READ MORE

By Nevin Adams 4/3/2018 • 0 Comments

One of the first university 403(b) cases to be filed has had most of its motions to dismiss denied in the U.S. District Court for the District of Connecticut. READ MORE

By Nevin Adams 3/29/2018 • 0 Comments

An industry trade group has settled its lawsuit against the Oregon Retirement Savings Board (ORSB) – but the issue raised wouldn’t seem to be settled yet. READ MORE

By ASPPA Net Staff3/28/2018 • 0 Comments

The 5th Circuit Court of Appeals recently “vacated” the DOL’s fiduciary rule and exemptions. Fred Reish discusses what that means for recommendations to participants that they take plan distributions and roll them over to IRAs. READ MORE

By Kenneth Marblestone3/28/2018 • 0 Comments

Sign up now for the 2018 ASPPA Eastern Regional Conference to take advantage of the extended Early Bird registration rate, which is now available until April 3. READ MORE

By John Iekel 3/28/2018 • 0 Comments

Did the 5th Circuit ruling that vacated the fiduciary rule really kill the rule? A recent analysis of the ruling discusses its possible effects. READ MORE

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