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 5/5/2017 • 0 Comments

Here are five things you (or your client) may not know about ERISA fidelity bonding — and that, as a result, they may be getting wrong. READ MORE

By ASPPA Net Staff5/5/2017 • 0 Comments

The House Financial Services Committee approved legislation May 4 that would rein in the Consumer Financial Protection Bureau and provisions of Dodd-Frank, and repeal the DOL's fiduciary rule. READ MORE

By Richard Hochman5/3/2017 • 0 Comments

The IRS’ recent release of guidance on participant loans was not a surprise; however, what the guidance actually addressed was. READ MORE

By Nevin Adams 5/3/2017 • 0 Comments

The Senate votes May 3 on a measure that would undo the DOL's rules that crafted a safe harbor that exempted states’ auto-IRA programs from ERISA.


By John Iekel5/1/2017 • 0 Comments

Reporting and disclosure are functions all pension systems must perform, and public systems are no exception. So how are they doing? A recent study takes a look. READ MORE

By ASPPA Net Staff4/28/2017 • 0 Comments

The U.S. Senate has confirmed Alexander Acosta as Secretary of Labor. READ MORE

By ASPPA Net Staff4/27/2017 • 0 Comments

In a White House blog entry posted late on April 26, National Economic Council Director and chief economic advisor to President Trump Gary Cohn reiterated that retirement savings will be protected as tax reform proceeds. READ MORE

By ASPPA Net Staff4/27/2017 • 0 Comments

A new study examines what small business owners in Connecticut think about the state’s new retirement plan and how well they grasp it. READ MORE

By Nevin Adams 4/27/2017 • 0 Comments

This year’s Western Benefit Conference will be one of the few events in the nation to span issues relating to both retirement AND health care. READ MORE

By Nevin Adams 4/27/2017 • 0 Comments

Unveiling President Trump’s tax reform proposal on April 26, Gary Cohn, Trump’s chief economic advisor and director of the National Economic Council, said that “retirement savings will be protected.” READ MORE

By ASPPA Net Staff4/25/2017 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) has expanded the availability of filing information for those who use “My PAA,” its online premium filing system. READ MORE

By Nevin Adams4/25/2017 • 0 Comments

Plan sponsors and administrators got some good news on April 20 from the IRS regarding the calculation of maximum participant loan amounts. READ MORE

By ASPPA Net Staff4/25/2017 • 0 Comments

Senate Majority Leader Mitch McConnell (R-KY) has taken a procedural step to advance the confirmation vote for President Trump’s nominee for Secretary of Labor. READ MORE

By Nevin Adams4/24/2017 • 0 Comments

A recent article in the Wall Street Journal cautions: “Grab Your Pitchforks, Your 401(k) May Need Defending From Congress.” READ MORE

By Craig Hoffman4/24/2017 • 0 Comments

It appears that the IRS finally agrees with ASPPA’s recommendation that the IRS roll out the new “compliance” or “5500-SUP” questions as part of a broader Form 5500 modernization initiative. READ MORE

By ASPPA Net Staff4/21/2017 • 0 Comments

A new blog post by noted ERISA attorney Fred Reish takes a look at requirements that aren’t obvious on the face of the Impartial Conduct Standards. READ MORE

By Nevin Adams4/21/2017 • 0 Comments

A new white paper says that fund changes already underway in response to the Department of Labor’s (DOL) fiduciary regulation may well have broad beneficial effects. READ MORE

By ASPPA Net Staff4/19/2017 • 0 Comments

Republican members of the House Committee on Education and the Workforce are pushing to see that the applicability date of the fiduciary regulation is fully postponed until the impact has been reassessed. READ MORE

By ASPPA Net Staff4/18/2017 • 0 Comments

The IRS has invited public comments on the Form 5300, Application for Determination for Employee Benefit Plans. READ MORE

By ASPPA Net Staff4/18/2017 • 0 Comments

The IRS on April 18 announced that it has extended the deadline for certain employers to adopt a DC pre-approved plan and apply for a determination letter, if permissible, from April 30, 2017 to May 1, 2017. READ MORE

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