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 ASPPA Net Staff5/29/2015 • 0 Comments

The recent Department of Labor (DOL) study finding deficiencies in audits of employee benefit plans does not translate to a statement about how viable those plans are, says the American Institute of CPAs (AICPA) in a May 28 statement.
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By ASPPA Net Staff5/28/2015 • 0 Comments

A study the Department of Labor did of its audits of employee benefits plans shows that the department needs to improve the quality of those audits. READ MORE

By ASPPA Net Staff5/26/2015 • 0 Comments

On May 20, President Obama announced his intent to nominate a number of individuals to key Administration posts, including the Pension Benefit Guaranty Corporation.
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By ASPPA Net Staff5/22/2015 • 0 Comments

Employers, plan administrators, third party administrators and others associated with multiemployer plans have received reassurance regarding the scope of the Pension Benefit Guaranty Corporation’s proposed rule on mandatory e-filing for certain multiemployer notices. READ MORE

By ASPPA Net Staff5/21/2015 • 0 Comments

ASPPA Executive Director and CEO Brian Graff opened ASPPA’s first-ever virtual conference with a discussion of “the elephant in the room” — the Department of Labor’s reproposal concerning the definition of who is a fiduciary.
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By ASPPA Net Staff5/21/2015 • 0 Comments

ASPPA’s first-ever virtual conference provided more than critical information on important issues — it also afforded an opportunity to gain the expert speakers’ insights on particular situations and matters. READ MORE

By ASPPA Net Staff5/18/2015 • 0 Comments

The Department of Labor has announced a brief extension of the comment period on its fiduciary reproposal — and has set a date for a public hearing. READ MORE

By John Iekel5/15/2015 • 0 Comments

The DOL’s ERISA Advisory Council at its May 27-29 meeting will include examination of lifetime plan participation. READ MORE

By ASPPA Net Staff5/15/2015 • 0 Comments

Legislation introduced recently in the U.S. House of Representatives and the Senate would require retirement plans to include an “annuity equivalent” on participant statements. READ MORE

By ASPPA Net Staff5/12/2015 • 0 Comments

The Department of Labor’s Employee Benefit Security Administration has asked the Office of Management and Budget to extend for three more years authorization to gather information through the Form 5500. READ MORE

By ASPPA Net Staff5/11/2015 • 0 Comments

David N. Levine and Pete Swisher in the recent ASPPA webcast, “The Conflict of Interest Proposal: How it Works and What it Means,” discussed what the Department of Labor’s recent fiduciary redefinition proposal means and portends. READ MORE

By ASPPA Net Staff5/7/2015 • 0 Comments

The IRS has put in place new ways to correct elective deferral errors in 403(b) and 401(k) plans, and accordingly has updated its webpage and included coverage in Issue 2015-5 of Employee Plans News. READ MORE

By ASPPA Net Staff5/7/2015 • 0 Comments

The effective dates of changes the IRS Employee Plans division made to processing of determination letters for retirement plans vary by form, the IRS has reminded filers and retirement professionals. READ MORE

By ASPPA Net Staff5/6/2015 • 0 Comments

The DOL’s ERISA Advisory Council is set to seek solutions to difficulties plan participants experience in understanding their choices in pension risk transfer transactions. READ MORE

By ASPPA Net Staff5/4/2015 • 0 Comments

The IRS on May 1 issued a reminder in news release IR-2015-74 that eligible small businesses can file the returns by June 2 and not suffer the penalties they would otherwise face. READ MORE

By ASPPA Net Staff5/4/2015 • 0 Comments

ASPPA in an April 30 comment letter made suggestions regarding projects and guidance the IRS should pursue in its 2015-2016 Priority Guidance Plan. READ MORE

By ASPPA Net Staff5/1/2015 • 0 Comments

The Financial Accounting Standards Board Emerging Issues Task Force has issued an FASB Exposure Draft containing proposed updates to accounting standards for defined benefit and defined contribution plans. READ MORE

By ASPPA Net Staff4/30/2015 • 0 Comments

The Department of Labor has filed a lawsuit alleging that a profit-sharing plan lost more than $4 million when fiduciaries engaged in self-dealing and conflicted transactions involving plan assets when they caused the plan to pay excessive fees. READ MORE

By ASPPA Net Staff4/30/2015 • 0 Comments

The Financial Accounting Standards Board (FASB) in Accounting Standards Update 2015-04, “Compensation — Retirement Benefits” (Topic 715) has updated its treatment of the measurement date of an employer’s defined benefit obligation and plan assets. READ MORE

By ASPPA Net Staff4/30/2015 • 0 Comments

On May 5, an ASPPA webcast will bring you up to speed on the historical and political context of the Department of Labor’s new fiduciary proposal, the 2010 proposal and why it failed, and the details and implications of the 2015 proposal.
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