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 Staff11/25/2015 • 0 Comments

Plan fiduciaries should be careful when they choose, and retain, auditors; Morgan Lewis partner R. Randall Tracht and associate Elizabeth S. Goldberg discuss the DOL effort to provide information about plan audits and advising care in selecting auditors. READ MORE

By ASPPA Net Staff11/23/2015 • 0 Comments

The Office of Management and Budget (OMB) has issued a comprehensive list of regulatory projects the Pension Benefit Guaranty Corporation (PBGC) is undertaking. READ MORE

By ASPPA Net Staff11/23/2015 • 0 Comments

The IRS will be holding a Dec. 18 hearing on proposed regulations relating to the administration of a multiemployer plan participant vote on an approved suspension of benefits under the Multiemployer Pension Reform Act of 2014 (MPRA). READ MORE

By ASPPA Net Staff11/20/2015 • 0 Comments

The Department of Labor has criticized an effort by a bipartisan group of members of the U.S. House of Representatives to address concerns about its proposed fiduciary rule, with a DOL spokesman calling the initiative “puzzling and disappointing. READ MORE

By ASPPA Net Staff11/19/2015 • 0 Comments

Securities and Exchange Commission Chairman Mary Jo White on Nov. 18 faced some tough questions from members of the House Financial Services Committee from both parties concerning her agency’s work on setting a uniform fiduciary standard of conduct. READ MORE

By Nevin Adams11/18/2015 • 0 Comments

Another “excessive fee” lawsuit was settled recently — but what’s more interesting than the settlement amount is the speed with which it was reached and how it’s going to be spread among the parties. READ MORE

By Nevin Adams11/16/2015 • 0 Comments

The Department of Labor on Nov. 16 unveiled a proposed rule to clarify ERISA's application to state-run IRA programs, creating an unfair advantage for those programs over those offered by the private sector. READ MORE

By ASPPA Net Staff11/16/2015 • 0 Comments

In dealing with a takeover, the actuary of the acquirer must first collect sufficient information from the plan administrator, the actuary that served the acquired and/or the third party administrator, says Lauren Okum in “DB Plan Takeovers,” an article that appeared in the Fall 2015 issue of Plan Consultant. READ MORE

By Nevin Adams 11/16/2015 • 0 Comments

Good news for those who work with cash balance plans: The IRS has released final regulations that provide guidance and, notably, another year to comply with, what are now final hybrid plan rules. READ MORE

By ASPPA Net Staff11/13/2015 • 0 Comments

Outsourcing plan administration can help in meeting increasingly complicated requirements — but it’s not a full absolution from all responsibilities, argues Fiduciary Plan Governance in a recent blog entry. READ MORE

By ASPPA Net Staff11/13/2015 • 0 Comments

In “Best Practices for Administering Auto Enrollment Plans,” a webcast that will be held on Tuesday, Nov. 17, J.J. McKinney will examine the successes of automatic enrollment, plan design considerations and types of clients that might be better served by looking for solutions elsewhere. READ MORE

By Nevin Adams 11/13/2015 • 0 Comments

The IRS has released final regulations that provide guidance and, notably, another year to comply with, what are now final hybrid plan rules. READ MORE

By ASPPA Net Staff11/12/2015 • 0 Comments

The Securities and Exchange Commission (SEC) is working “expeditiously” on a uniform fiduciary standard, SEC Chair Mary Jo White said at the Nov. 10 annual meeting of the Securities Industry and Financial Markets Association (SIFMA). READ MORE

By ASPPA Net Staff11/9/2015 • 0 Comments

Effective Feb. 12, 2016, the IRS will no longer be offering the ERPA Special Enrollment Examination (ERPA SEE) to become an ERPA. READ MORE

By ASPPA Net Staff11/6/2015 • 0 Comments

The IRS has issued a draft of the Form 5500-EZ to be used by one-participant retirement plans for 2015 information reporting. READ MORE

By ASPPA Net Staff11/6/2015 • 0 Comments

With concerns about the final Department of Labor (DOL) fiduciary rule and its potential impact on low- and middle-income families still percolating on Capitol Hill, a bipartisan group of House of Representatives members has outlined a series of legislative principles to help guide those efforts. READ MORE

By Ray Harmon11/6/2015 • 0 Comments

“In my 40 years of doing this, I never thought I’d see the day we’d have a president giving us direct instructions …” [on state-run, automatic enrollment IRA programs], Assistant Secretary of Labor Phyllis Borzi told the ERISA Advisory Council Nov. 3-4. READ MORE

By Janice Wegesin11/5/2015 • 0 Comments

On Nov.2, 2015, the Employee Benefit Security Administration (EBSA) sent about 1,200 letters by email to filers of 2014 Form 5500 that did not properly include the report of an independent accountant. READ MORE

By ASPPA Net Staff11/5/2015 • 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 ASPPA Net Staff11/3/2015 • 0 Comments

They may not have been willing to block the Department of Labor’s (DOL) fiduciary proposal with legislation, but a group of Democratic members of the U.S. House of Representatives are asking for some additional time to comment on the final proposal before it’s final. READ MORE

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