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 Staff12/21/2015 • 0 Comments

Understanding how the EPCRS negotiation process works and strategies that can be employed are critical. In a webcast that will be held on Jan. 14, 2016, Ilene H. Ferenczy will share her many years of experience in dealing with the IRS in this case-study-intensive webcast. READ MORE

By ASPPA Net Staff12/21/2015 • 0 Comments

The departing year was a challenging one for many defined benefit plans, so Mercer outlines key investment issues they can focus on in 2016. READ MORE

By ASPPA Net Staff12/21/2015 • 0 Comments

The decision to contribute or convert to a Roth IRA incurs an immediate tax liability that could become so heavy as to be destructive, writes Michael Kitces in “Using Systematic Partial Roth IRA Conversions and Recharacterizations To Fill The Lower Tax Bracket Buckets.” READ MORE

By ASPPA Net Staff12/21/2015 • 0 Comments

A bipartisan group of lawmakers last week introduced legislation that they say will “ensure retirement advisors serve their clients’ best interests and preserve access to quality financial planning” and would also require Congress' approval of the final fiduciary rule from the Labor Department. READ MORE

By ASPPA Net Staff12/18/2015 • 0 Comments

This is the time that many are forming their end-of-year lists. Accordingly, the lawyers at Snell & Wilmer have prepared a “to do” list for executive compensation plans. READ MORE

By ASPPA Net Staff12/16/2015 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) has issued the 2016 comprehensive premium filing instructions. READ MORE

By ASPPA Net Staff12/14/2015 • 0 Comments

The IRS on Dec. 14 issued the 2015 Cumulative List of Changes in Plan Qualification Requirements; it is to be used by plan sponsors and practitioners submitting determination letter applications for plans during the period beginning Feb. 1, 2016 and ending Jan. 31, 2017.
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By ASPPA Net Staff12/14/2015 • 0 Comments

It’s the time of year when Santa — and those who work with defined benefit plans — are making their end-of-year lists — and checking them twice; to that end, the lawyers at Snell & Wilmer have prepared the following end-of-year “to do” list for DB plans. READ MORE

By ASPPA Net Staff12/11/2015 • 0 Comments

The House and Senate have passed a short-term spending bill that will keep the government funded through Dec. 16; whether budget legislation ultimately will include provisions affecting the Department of Labor’s fiduciary rule remains uncertain.
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By ASPPA Net Staff12/11/2015 • 0 Comments

Risk transfer events (RTEs) affected more than one million pension plan participants during the period 2009-2013, reports the Pension Benefit Guaranty Corporation (PBGC). In “Risk Transfer Study: Plan Years: 2009-2013.” READ MORE

By ASPPA Net Staff12/10/2015 • 0 Comments

The IRS has updated the frequently asked questions about the Form 5500 series

— and did so in a manner that makes them useful for 2015 reporting.

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By ASPPA Net Staff12/9/2015 • 0 Comments

For those thinking the impetus behind the Labor Department’s fiduciary proposal might fade with a change in administrations, think again. READ MORE

By ASPPA Net Staff12/9/2015 • 0 Comments

The IRS in Notice 2015-86 has provided guidance on how the U.S. Supreme Court's ruling Obergefell , which overturned state laws and constitutional amendments that defined marriage as occurring between a man and a woman, applies to retirement plans. READ MORE

By ASPPA Net Staff12/9/2015 • 0 Comments

IRA holders and those who provide them services may be interested to know that the IRS has made modifications to the Form 5329, “Additional Taxes on Qualified Plans (Including IRAs) and Other Tax-Favored Accounts.” READ MORE

By ASPPA Net Staff12/8/2015 • 0 Comments

The federal budget bill being negotiated on Capitol Hill this week could become the battleship that eventually sinks the Department of Labor’s fiduciary rule. READ MORE

By ASPPA Net Staff12/7/2015 • 0 Comments

ASPPA is always providing information and insights that will be valuable to its members! Following is a summary of upcoming webcasts and events. READ MORE

By Nevin Adams12/7/2015 • 0 Comments

There are a lot of questions that plan fiduciaries should ask, but here are five W’s and an H that every new plan fiduciary — or every “old” fiduciary who is new to a plan — should ask. READ MORE

By Andrew Remo, Craig Hoffman12/4/2015 • 0 Comments

Congress has passed the Fixing America’s Surface Transportation (FAST) Act of 2015, which is expected to be signed into law Dec. 4 by President Obama — and which, thanks to ASPPA GAC input, includes a vital change for Form 5500 filers. READ MORE

By Craig Hoffman12/3/2015 • 0 Comments

The final version of the 2015 Form 5500 was released on Dec. 3 and, in a victory for ASPPA GAC, the new IRS compliance questions were made optional (at least for the 2015 plan year). READ MORE

By ASPPA Net Staff12/3/2015 • 0 Comments

The Department of Labor (DOL), IRS and Pension Benefit Guaranty Corporation (PBGC) on Dec. 3 released advance copies of the Form 5500 Series to be used for 2015 reporting. READ MORE

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