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 Staff1/6/2016 • 0 Comments

The IRS has issued an updated version of Publication 575, “Pension and Annuity Income,” for use in preparing 2015 returns. READ MORE

By ASPPA Net Staff1/6/2016 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) on Jan. 5 announced that it is ready to accept electronic premium filings for plan years beginning in 2016. READ MORE

By Nevin Adams1/5/2016 • 0 Comments

It is something of a tradition this time of year to look back, to reminiscence about past events and lessons learned, and sometimes to look ahead. Here are some insights that should help lay the groundwork for a productive and prosperous 2016. READ MORE

By ASPPA Net Staff1/4/2016 • 0 Comments

The IRS on Jan. 4 said it will issue guidance on revisions to the employee plans determination letter program regarding Cycle A elections, determination letter expiration dates, and extension of deadlines for certain defined contribution pre-approved plans. READ MORE

By ASPPA Net Staff1/4/2016 • 0 Comments

Just before Christmas, President Obama signed into law H.R. 2029, a massive year-end spending and tax bill containing a number of provisions affecting health and retirement plans. Here’s what you may have missed. READ MORE

By Nevin Adams12/29/2015 • 0 Comments

Every plan, and every investment committee, is unique — and yet, conducted properly, there are inevitably areas of commonality. Here are some questions that could enhance the discussion, if not the outcome, of your next meeting.
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By ASPPA Net Staff12/29/2015 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) on Dec. 23 sent the Office of Management and Budget (OMB) a request for its approval of a revision to its collection of information on locating and paying plan participants. READ MORE

By ASPPA Net Staff12/29/2015 • 0 Comments

The Social Security Administration’s Office of the Chief Actuary has issued updated disability and death probability tables based on the intermediate assumptions of the 2015 Trustees Report. READ MORE

By ASPPA Net Staff12/29/2015 • 0 Comments

The IRS Employee Plans office, in the latest issue of Employee Plans News, has issued reminders and links to other information especially useful to plans as the old year ends and a new year begins. READ MORE

By Nevin Adams12/21/2015 • 0 Comments

The court in Tussey v. ABB Inc. No. 2:06-cv-04305 (W.D. Mo. Dec. 9, 2015) has awarded attorney fees roughly equal to the total damages assessed in the excessive fee case — but it won’t come close to covering their costs. READ MORE

By ASPPA Net Staff12/21/2015 • 0 Comments

“A Key Beneficiary Provision in PPA Plan Documents,” an article that appeared in the Fall 2015 issue of Plan Consultant, concerns changes in plan documents have have made them much more complicated and sophisticated. READ MORE

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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