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 Adams1/15/2015 • 0 Comments

The 7th U.S. Circuit Court of Appeals has outlined the conditions for determining the existence of a partial plan termination, ruling on the fifth appeal of what it called a “seemingly interminable class action suit.”
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By Nevin Adams1/14/2015 • 0 Comments

Illinois Attorney General Lisa Madigan (D) is arguing that the Land of Lincoln has “police powers” that allow it to change a contract in extraordinary circumstances, including changes to the state’s public pensions contained in a 2013 pension overhaul.
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By John Iekel1/13/2015 • 0 Comments

The Pension Benefit Guaranty Corporation on Jan. 12 issued a draft of the 2015 premium filing form and instructions. It provides information for plans paying premiums for plan years beginning in 2015, including instructions for all the particular forms of data that must be reported.
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By Craig Hoffman1/12/2015 • 0 Comments

A regulation that would allow for a “window” period for giving out the annual notice required in most 401(k) plans appears to be heading for a spring 2015 publication date — and that could be good news for your plan sponsor clients.
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By John Iekel1/7/2015 • 0 Comments

In enforcing the law, the Pension and Benefit Guaranty Corporation (PBGC) needs to remember its mission to preserve and protect defined benefit plans; that was PBGC Participant and Plan Sponsor Advocate Constance Donovan's message in the report she issued Dec. 31. READ MORE

By John Iekel12/29/2014 • 0 Comments

All disbursements from a retirement plan scheduled to be made at the same time are treated as a single distribution even if they are sent to multiple destinations, a new rule that becomes mandatory as 2015 dawns. READ MORE

By Nevin Adams11/11/2014 • 0 Comments

The IRS issued a clarification Nov. 10 on the application of the one-per-year limit on IRA rollovers. In Announcement 2014-32, the IRS said it had received comments about the “administrative challenges presented by the Bobrow interpretation of §408(d)(3)(B).”  READ MORE

By John Iekel11/4/2014 • 0 Comments

The Government Accountability Office in a recent report has highlighted one of the ways public- and private-sector deferred benefit plans differ — valuation. “Pension Plan Valuation: Views on Using Multiple Measures to Offer a More Complete Financial Picture” outlines and discusses these differences and their implications. READ MORE

By ASPPA Net Staff10/31/2014 • 0 Comments

American workers are feeling better about their retirement prospects, with most of the (modest) improvement registered among higher-income individuals and women, a new survey suggests. READ MORE

By John Iekel10/29/2014 • 0 Comments

Remember the kids' game, Hot Potato? Seems like there's a grown-up version too, for plan administrators who perform a fiduciary role. That was what Nicholas J. White, Special Counsel at Trucker Huss, addressed in an Oct. 28 session at ASPPA's 2014 Annual Conference at National Harbor, Md. READ MORE

By John Iekel10/28/2014 • 0 Comments

Never a dull moment for plan administrators and actuaries. And that’s even more true when you throw federal regulations into the mix. A panel discussion at ASPPA’s 2014 Annual Conference on Monday, Oct. 27 provided an update on regulatory changes affecting DB plans . READ MORE

By John Iekel10/28/2014 • 0 Comments

The finer points of administering a cash balance plan and working with equivalent benefit accrual rates were the topics of discussion at an Oct. 27 session of the 2014 ASPPA Annual Conference. Lawrence Deutsch, president of Larry Deutsch Enterprises, and Michael B. Preston of Preston Actuarial Services offered their insights. READ MORE

By John Iekel9/29/2014 • 0 Comments

They’ve been a while in coming, but they are here: the IRS on Sept. 26 issued final regulations on electronic filing of Form 8955-SSA and Form 5500-EZ in certain circumstances. The IRS had issued the regs in proposed form in August 2013 READ MORE

By John Iekel9/25/2014 • 1 Comments

The Pension Benefit Guaranty Corporation on Sept. 24 issued Technical Update 14-1, guidance on how the Highway and Transportation Funding Act of 2014 (HATFA) affects PBGC premiums. READ MORE

By John Iekel9/23/2014 • 0 Comments

Oregon State Treasurer Ted Wheeler has presented the legislature with recommendations for increasing Oregonians’ retirement savings, access to a retirement plan and ability to enroll in one. The recommendations are the work of the state’s Retirement Security Task Force.
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By John Iekel9/23/2014 • 0 Comments

Oregon State Treasurer Ted Wheeler has presented the legislature with recommendations for increasing Oregonians’ retirement savings, access to a retirement plan and ability to enroll in one. The recommendations are the work of the state’s Retirement Security Task Force.
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By John Iekel8/28/2014 • 0 Comments

The U.S. Census Bureau has published its annual survey of public pensions. The 2013 Survey of Public Pensions: State-Administered Defined Benefit Data provides revenues, expenditures, financial assets, membership and liabilities information for DB public pension systems. READ MORE

By Nevin Adams8/28/2014 • 0 Comments

What happens to executive retirement benefits when employers close or freeze their defined benefit pension plans? What if that plan is a hybrid/cash balance? And what does that mean for advisors? Towers Watson recently conducted an analysis of how Fortune 200 companies in 2013 transitioned executives after changing their underlying broad-based retirement programs to find the answers. READ MORE

By John Iekel8/27/2014 • 0 Comments

This summer, for the first time in more than 20 years, Hawaii was hit by a named tropical system. ays later, a second churned offshore. Hurricane Arthur splashed through North Carolina’s Outer Banks just before July 4. And the height of the Atlantic hurricane season is about to arrive. This portends the possibility of significant property losses, business disruption and the need for hardship distributions from 401(k)s. READ MORE

By John Iekel7/28/2014 • 0 Comments

Is the Form 5500 worth filling out and filing in the first place? Not everyone is convinced, reports Benefitspro. But file they must, and the Government Accountability Office (GAO) has come to the rescue, offering suggestions in its recent report, “Private Pensions: Targeted Revisions Could Improve Usefulness of Form 5500 Information” regarding how the form could be made more useful. READ MORE

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