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 Adams1/29/2016 • 0 Comments

Neither rain, nor snow, nor dark of night could keep the Labor Department from getting the updated conflict-of-interest/fiduciary regulation to the Office of Management and Budget for review. READ MORE

By ASPPA Net Staff1/28/2016 • 0 Comments

In a Jan. 25 telephone interview with reporters, Labor Secretary Thomas Perez said that the Department of Labor hopes that work on the proposed fiduciary rule will be completed “in the coming months.” READ MORE

By ASPPA Net Staff1/26/2016 • 0 Comments

The IRS has issued a proposed rule on the determination of whether the normal retirement age under a governmental pension plan satisfies Internal Revenue Code requirements and whether paying definitely determinable benefits starting at the plan’s normal retirement age satisfies them. READ MORE

By ASPPA Net Staff1/26/2016 • 0 Comments

The point has often been made that retirement plan tax “preferences” are a deferral of taxes, not a deduction — and now the Congressional Budget Office has estimated that impact on the nation’s Gross Domestic Product. READ MORE

By Nevin Adams1/26/2016 • 0 Comments

A recent Supreme Court ruling may have implications for retirement plan overpayment recoveries. READ MORE

By ASPPA Net Staff1/26/2016 • 0 Comments

Employers with pension plans seek to control costs. But what approach should they take? A recent report offers some suggestions. READ MORE

By ASPPA Net Staff1/26/2016 • 0 Comments

The IRS has updated the information it provides concerning the data analysis verification projects its Employee Plans Compliance Unit (EPCU) is pursuing. READ MORE

By Nevin Adams 1/26/2016 • 0 Comments

Harkening back to a brief reference to benefit portability in the State of the Union address, the Obama Administration has announced its desire to extend Multiple Employer Plan (MEP) access to the private sector. READ MORE

By Judy Miller1/22/2016 • 0 Comments

Over the past several years, we have heard from our members that IRS had taken issue with “412(d)(2)” plan amendments in the determination letter application review process — but an internal memorandum from the IRS contains some good news. READ MORE

By ASPPA Net Staff1/21/2016 • 0 Comments

The Department of Labor is pushing to get the revised version of its fiduciary rule to the Office of Management and Budget by the end of January, according to published reports. READ MORE

By ASPPA Net Staff1/19/2016 • 0 Comments

The IRS Employee Plans Compliance Unit (EPCU) has updated the information it provides on its Q&A page concerning handling certain erroneous filings. READ MORE

By ASPPA Net Staff1/19/2016 • 0 Comments

While the “optional” nature of a number of items is inconspicuous on the face of the 2015 Form 5500 series reports, the 2015 Form 5500 Instructions make clear that completing certain lines is not required. READ MORE

By Nevin Adams 1/19/2016 • 0 Comments

This is the time of year when resolutions for the cessation of bad behaviors and the beginning of better ones are in vogue; Nevin Adams offers some for plans. READ MORE

By ASPPA Net Staff1/19/2016 • 0 Comments

Will more corporations need to file Form 4010 with the PBGC for their pension plans for federal fiscal year 2016? Jeffrey Kamenir, Principal and Consulting Actuary in the Chicago Office of Milliman USA, Inc., addressed the matter in a recent Retirement Town Hall blog post. READ MORE

By ASPPA Net Staff1/15/2016 • 0 Comments

The American Retirement Association submitted a comment letter to the DOL on a proposed regulation under which an IRA plan, if established and maintained under a state-mandated payroll deduction program, would not be considered to be an “employee pension benefit plan” or “pension plan” under ERISA. READ MORE

By ASPPA Net Staff1/14/2016 • 0 Comments

The Employee Plans subgroup of the IRS Advisory Committee on Tax Exempt and Government Entities (ACT) is conducting a project on the IRS’ decision to eliminate most determination letters for individually designed plans, and is looking for practitioner input. READ MORE

By ASPPA Net Staff1/14/2016 • 0 Comments

The Governmental Accounting Standards Board (GASB) recently issued exposure drafts proposing accounting and financial reporting guidance related to fiduciary activities and pension issues. READ MORE

By ASPPA Net Staff1/13/2016 • 0 Comments

The IRS has updated, for 2016, “Instructions for Forms 1099-R and 5498: Distributions from Pensions, Annuities, Retirement or Profit-Sharing Plans, IRAs, Insurance Contracts, Etc., and IRA Contribution Information.” READ MORE

By ASPPA Net Staff1/12/2016 • 0 Comments

Retirement plan accounts benefited from higher deferrals and fewer plan loans in 2014, according to the Plan Sponsor Council of America. READ MORE

By ASPPA Net Staff1/12/2016 • 0 Comments

The Internal Revenue Service wants to encourage plan sponsors to correct certain plan failures — and they’re offering some financial incentives to do so. READ MORE

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