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 Staff5/18/2015 • 0 Comments

The Department of Labor has announced a brief extension of the comment period on its fiduciary reproposal — and has set a date for a public hearing. READ MORE

By John Iekel5/15/2015 • 0 Comments

The DOL’s ERISA Advisory Council at its May 27-29 meeting will include examination of lifetime plan participation. READ MORE

By ASPPA Net Staff5/15/2015 • 0 Comments

Legislation introduced recently in the U.S. House of Representatives and the Senate would require retirement plans to include an “annuity equivalent” on participant statements. READ MORE

By ASPPA Net Staff5/12/2015 • 0 Comments

The Department of Labor’s Employee Benefit Security Administration has asked the Office of Management and Budget to extend for three more years authorization to gather information through the Form 5500. READ MORE

By ASPPA Net Staff5/11/2015 • 0 Comments

David N. Levine and Pete Swisher in the recent ASPPA webcast, “The Conflict of Interest Proposal: How it Works and What it Means,” discussed what the Department of Labor’s recent fiduciary redefinition proposal means and portends. READ MORE

By ASPPA Net Staff5/7/2015 • 0 Comments

The IRS has put in place new ways to correct elective deferral errors in 403(b) and 401(k) plans, and accordingly has updated its webpage and included coverage in Issue 2015-5 of Employee Plans News. READ MORE

By ASPPA Net Staff5/7/2015 • 0 Comments

The effective dates of changes the IRS Employee Plans division made to processing of determination letters for retirement plans vary by form, the IRS has reminded filers and retirement professionals. READ MORE

By ASPPA Net Staff5/6/2015 • 0 Comments

The DOL’s ERISA Advisory Council is set to seek solutions to difficulties plan participants experience in understanding their choices in pension risk transfer transactions. READ MORE

By ASPPA Net Staff5/4/2015 • 0 Comments

The IRS on May 1 issued a reminder in news release IR-2015-74 that eligible small businesses can file the returns by June 2 and not suffer the penalties they would otherwise face. READ MORE

By ASPPA Net Staff5/4/2015 • 0 Comments

ASPPA in an April 30 comment letter made suggestions regarding projects and guidance the IRS should pursue in its 2015-2016 Priority Guidance Plan. READ MORE

By ASPPA Net Staff5/1/2015 • 0 Comments

The Financial Accounting Standards Board Emerging Issues Task Force has issued an FASB Exposure Draft containing proposed updates to accounting standards for defined benefit and defined contribution plans. READ MORE

By ASPPA Net Staff4/30/2015 • 0 Comments

The Department of Labor has filed a lawsuit alleging that a profit-sharing plan lost more than $4 million when fiduciaries engaged in self-dealing and conflicted transactions involving plan assets when they caused the plan to pay excessive fees. READ MORE

By ASPPA Net Staff4/30/2015 • 0 Comments

The Financial Accounting Standards Board (FASB) in Accounting Standards Update 2015-04, “Compensation — Retirement Benefits” (Topic 715) has updated its treatment of the measurement date of an employer’s defined benefit obligation and plan assets. READ MORE

By ASPPA Net Staff4/30/2015 • 0 Comments

On May 5, an ASPPA webcast will bring you up to speed on the historical and political context of the Department of Labor’s new fiduciary proposal, the 2010 proposal and why it failed, and the details and implications of the 2015 proposal.
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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

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