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 Staff4/27/2015 • 0 Comments

At this year’s ASPPA Chicago Regional Conference, Commissioner of the IRS Tax Exempt and Governmental Entities Division Sunita Lough will be addressing whether the IRS will limit the ability of plan sponsors to obtain a determination letter for individually designed plans.
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By ASPPA Net Staff4/24/2015 • 0 Comments

The Department of Labor will not extend the 75-day comment period for its conflict-of-interest rule, Labor Secretary Thomas Perez said April 23. READ MORE

By John Iekel4/24/2015 • 0 Comments

The IRS in a recently released private letter ruling (PLR) said that transfers of surplus pension assets can be used to cover health benefits funded under a Code Section 401(h) account. READ MORE

By ASPPA Net Staff4/22/2015 • 0 Comments

The Pension Benefit Guaranty Corporation has proposed a new requirement that multiemployer plans file certain forms electronically.
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By ASPPA Net Staff4/17/2015 • 0 Comments

The IRS found in its 401(k) Nonqualified Plans Project that plan sponsors sometimes enter information on the form that indicate that their plan is not qualified. READ MORE

By ASPPA Net Staff4/16/2015 • 0 Comments

The Department of Labor’s long-awaited fiduciary reproposal claims to protect consumers from “conflicts of interest” in retirement advice — but at what cost? READ MORE

By ASPPA Net Staff4/15/2015 • 0 Comments

Industry insider and fiduciary geek Pete Swisher has penned a timely and insightful piece on the history and potential future impact of the Department of Labor’s new “conflict of interest” proposal.
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By ASPPA Net Staff4/15/2015 • 0 Comments

The Investment Company Institute says the Obama administration relied on "fatally flawed" research in supporting its push for an expansion of the “conflicted advice” rule released April 14. READ MORE

By John Iekel4/14/2015 • 0 Comments

It’s been a long time coming, but after a nearly five-year odyssey the Department of Labor on April 14 unveiled a proposed regulation that redefines who a plan fiduciary is — and makes it clear that the Obama administration intends the rule to be a way to increase consumer protections for plan sponsors, fiduciaries, participants, beneficiaries and IRA owners. READ MORE

By ASPPA Net Staff4/10/2015 • 0 Comments

The Treasury Inspector General for Tax Administration recently issued a report on how well the IRS identifies and addresses excess contributions to IRAs and made recommendations regarding how the IRS can do a better job. READ MORE

By John Iekel4/10/2015 • 0 Comments

Small defined benefit plans that have received audit waivers need more frequent review, says the Department of Labor’s Inspector General in a report concerning EBSA’s oversight of small plans claiming the audit waiver. READ MORE

By Nevin Adams4/6/2015 • 0 Comments

Plans that have, or have been contemplating, automatic enrollment features just got some good news from the Internal Revenue Service. READ MORE

By ASPPA Net Staff4/1/2015 • 0 Comments

The Internal Revenue Service is moving to make it easier — and in some cases cheaper — to remedy plan problems with participant loans. READ MORE

By John Iekel3/30/2015 • 0 Comments

The PBGC seeks to revise forms it needs to implement Section 303(k) of ERISA and Internal Revenue Code Section 430(k) and seeks extension of OMB approval of certain forms. READ MORE

By ASPPA Net Staff3/26/2015 • 0 Comments

Expanded annual actuarial certifications for multiemployer plans are due March 31 for calendar year plans. READ MORE

By Robert Richter3/26/2015 • 0 Comments

ASPPA’s IRS Q&A subcommittee is gathering questions for the Defined Contribution IRS/Treasury Question & Answer general session at this October’s Annual Conference. READ MORE

By Andrew Remo3/26/2015 • 0 Comments

The Securities and Exchange Commission and Department of Labor are both working on fiduciary issues — but their different approaches appear to be on different schedules. READ MORE

By ASPPA Net Staff3/20/2015 • 0 Comments

The IRS on March 19 announced that it has extended temporary relief from nondiscrimination rules for certain closed defined benefit plans under Internal Revenue Code Section 401(a)(4) for another year. READ MORE

By ASPPA Net Staff3/20/2015 • 0 Comments

The IRS on March 19 in IR-2015-55 issued a reminder that April 1 is the deadline for RMDs from traditional IRAs and 401(k), 403(b) and 457 plans to taxpayers who reached age 70½ in 2014. READ MORE

By Andrew Remo3/19/2015 • 0 Comments

Secretary of Labor Thomas Perez used his first appearances before the 114th Congress to deliver a full-throated defense of the DOL’s controversial effort to expand the fiduciary standard of care to financial service providers under the jurisdiction of the department.

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