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 Adams5/18/2018 • 0 Comments

The states of California, New York and Oregon have asked the 5th Circuit to reconsider its decision denying the states’ motion to intervene in litigation involving the DOL fiduciary rule. READ MORE

By Ted Godbout5/18/2018 • 0 Comments

The House Education and the Workforce’s Subcommittee on Health, Employment, Labor and Pensions heard testimony May 16 on four retirement-related bills members are confident will be approved before Congress adjourns. READ MORE

By John Iekel 5/15/2018 • 0 Comments

The PBGC plans to ask the Office of Management and Budget (OMB) for its approval of a revision to a form used in information collection that enables the PBGC to pay benefits to participants and beneficiaries. READ MORE

By Nevin Adams5/15/2018 • 0 Comments

Less than a week after the suit was filed — but (apparently) after six months of arm’s length negotiation with the assistance of a national mediator, the parties in an excessive fee suit have come to terms. READ MORE

By John Iekel 5/15/2018 • 0 Comments

The IRS on May 15 said it is inviting financial institutions and other service providers to submit proposals for umbrella closing agreements to correct failures to restate plans by the applicable deadline. READ MORE

By Nevin Adams 5/15/2018 • 0 Comments

The law firm Schlichter, Bogard & Denton, LLP, has targeted another 401(k) plan for breach of its fiduciary duties — and their claims include that the lack of a stable value fund cost plan participants $41 million. READ MORE

By ASPPA Net Staff5/15/2018 • 0 Comments

President Trump has announced his intention to nominate a new head of the Pension Benefit Guaranty Corporation (PBGC), the nation’s private pension plan insurer. READ MORE

By ASPPA Net Staff5/15/2018 • 0 Comments

It may seem like a long time until 2019 — but the IRS has already published the 2019 inflation-adjusted amounts for health savings accounts (HSAs). READ MORE

By John Iekel 5/14/2018 • 0 Comments

Reputation — building, maintaining and living it — permeates everything from meeting regulatory requirements to the finer points of interacting with and serving clients. READ MORE

By John Iekel 5/14/2018 • 0 Comments

You have the option to embrace best practices, Fred Reish, Partner at Drinker Biddle & Reath LLP told attendees at the recent PSCA Annual Conference; he offered insights on fiduciary compliance, risk management and best practices. READ MORE

By John Iekel 5/9/2018 • 0 Comments

The IRS has suggested that employers and organizations refresh IRA holders’ knowledge of, and attention to, what they can do and are required to do concerning their accounts. READ MORE

By Ted Godbout5/8/2018 • 0 Comments

As anticipated, the DOL has extended until further notice its temporary enforcement policy relating to its rule defining who is a fiduciary and the associated prohibited transaction exemptions. READ MORE

By ASPPA Net Staff5/8/2018 • 0 Comments

One of the most vocal critics of the Labor Department’s fiduciary rule is leaving the Securities and Exchange Commission — with a mammoth advice proposal out for public comment. READ MORE

By John Iekel 5/7/2018 • 0 Comments

An expert panel at a session of the PSCA Annual Conference discussed ways retirement plans and those who serve them can address challenges to retirement security. READ MORE

By John Iekel5/4/2018 • 0 Comments

Rules for fiduciaries – and what the term itself even means – figured prominently in a May 2 session of the Plan Sponsor Council of America Annual Conference in Scottsdale, AZ. READ MORE

By Ted Godbout5/2/2018 • 0 Comments

How do you increase retirement security for 80 million 401(k) account owners? READ MORE

By Ted Godbout4/29/2018 • 0 Comments

Leading ERISA legal minds believe the SEC’s proposals to establish new standards of conduct for broker-dealers and investment advisers still need a lot of work. READ MORE

By Nevin Adams4/29/2018 • 0 Comments

Sometimes the hype surrounding a new blockbuster is so compelling that it builds up expectations beyond the reality; doubtless that was the sense of many in reading the Best Interest Regulation proposal published by the SEC. READ MORE

By John Iekel 4/27/2018 • 0 Comments

The U.S. Court of Appeals for the 8th Circuit has upheld a ruling by the U.S. Tax Court that a DB plan sponsor owed excise taxes and additions to tax related to its operation of the plan. READ MORE

By ASPPA Net Staff4/27/2018 • 0 Comments

The Wall Street Journal reports that the Labor Department is examining whether Wells Fargo has been pushing participants to move money from their 401(k)s into more expensive IRAs at the bank. READ MORE

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