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 Adams2/26/2015 • 0 Comments

The Government Accountability Office recommends that DOL require plan sponsors to notify the agency when they implement lump sum windows, and coordinate with Treasury to clarify guidance on the information sponsors provide participants.

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By ASPPA Net Staff2/26/2015 • 0 Comments

The recent White House budget proposal sets aside $6.5 million in funding for the Department of Labor, along with waiver authority, to support state efforts to implement state-based 401(k)-type programs or automatic enrollment IRAs.

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By Nevin Adams2/25/2015 • 0 Comments

A 401(k) revenue-sharing lawsuit finally got its day before the U.S. Supreme Court.
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By John Iekel2/25/2015 • 0 Comments

ASPPA CEO and Executive Director Brian Graff has warned that the fiduciary rule reproposal could have serious and negative consequences.
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By Craig Hoffman2/25/2015 • 0 Comments

ASPPA’s Government Affairs Committee recently filed comments with the IRS regarding proposed changes to IRS Form 5500. READ MORE

By Nevin Adams2/23/2015 • 0 Comments

Today President Obama, as expected, will throw his support behind the Department of Labor’s controversial fiduciary rule reproposal — but the details of the proposal remain elusive. READ MORE

By Nevin Adams2/23/2015 • 0 Comments

The Department of Labor’s much-anticipated fiduciary reproposal has drawn intense criticism from SEC Commissioner Daniel M. Gallagher.
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By Nevin Adams2/23/2015 • 0 Comments

Exceptions should not be the rule, at least not when it comes to the Department of Labor’s fiduciary regulation reproposal, according to a new white paper from the U.S. Chamber of Commerce.
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By ASPPA Net Staff2/20/2015 • 0 Comments

The Pension Benefit Guaranty Corporation is seeking input on the implementation of the Multiemployer Pension Reform Act provisions concerning partition of multiemployer plans andrules for mergers of multiemployer plans. READ MORE

By ASPPA Net Staff2/18/2015 • 0 Comments

A growing number of employers plan to act this year to curb the cost of future Pension Benefit Guaranty Corporation premiums, according to Aon Hewitt. READ MORE

By ASPPA Net Staff2/17/2015 • 0 Comments

The ERISA public disclosure website — which houses filings by health and pension plans of private employers — is headed for the cloud. READ MORE

By Nevin Adams2/10/2015 • 0 Comments

In a Feb. 5 letter from Senate Committee on Homeland Security and Government Affairs Chairman Ron Johnson (R-Wisc.) to Secretary of Labor Thomas Perez, the committee requests that the DOL better explain its fiduciary regulation reproposal. READ MORE

By ASPPA Net Staff2/5/2015 • 0 Comments

The IRS cautions that entering incorrect information — or in some cases, leaving a field blank — on the Form 5500 increases the likelihood of being targeted for a compliance check.
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By Judy Miller2/3/2015 • 0 Comments

President Obama’s 2016 budget has been issued, and while parts could expand retirement plan coverage, others are likely to undermine those good intentions.

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By ASPPA Net Staff1/30/2015 • 0 Comments

The Pension Benefit Guaranty Corporation on Jan. 29 announced that the Office of Management and Budget has approved revisions it made to the forms and instructions for standard and distress terminations and missing participants.
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By ASPPA Net Staff1/30/2015 • 0 Comments

The White House memo on the DOL’s proposal to redefine what constitutes a fiduciary continues to engender negative reaction. READ MORE

By Nevin Adams1/30/2015 • 0 Comments

The 114th Congress has gotten off to a quick start with retirement legislation.
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By John Iekel1/26/2015 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) was not arbitrary and capricious when it concluded that Kentucky Bancshares was obliged to comply with the Pension Protection Act and ERISA when it terminated its retirement plan and trust, the 6th Circuit has ruled.
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By ASPPA Net Staff1/20/2015 • 0 Comments

A year ago, President Obama touted the voluntary MyRA in his State of the Union Address — but the White House has a lot more to say about retirement this year — and it’s a lot less voluntary.
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By ASPPA Net Staff1/15/2015 • 0 Comments

Funding levels of pension plans sponsored by the S&P 1500 fell by 9 percentage points in 2014, from 88% to 79%. According to Mercer, the plans’ collective deficits more than doubled last year, reaching $504 billion at year-end.
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