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 Staff11/2/2015 • 0 Comments

The Social Security Administration and the IRS have issued the Fall 2015 edition of their joint online newsletter, the SSA/IRS Reporter, This edition includes information on issues related to retirement plans and compliance. READ MORE

By Judy Miller10/30/2015 • 0 Comments

The details of a new budget deal have been released, and Congress has once again gone to the defined benefit pension well to pay for a budget deal. READ MORE

By Andrew Remo10/30/2015 • 0 Comments

The sweeping two-year budget package that is swiftly moving through Congress this week collects over $8.1 billion in revenue from America’s defined benefit plans, largely from increases in premium payments to the Pension Benefit Guaranty Corporation (PBGC). READ MORE

By ASPPA Net Staff10/29/2015 • 0 Comments

The IRS issued a reminder in IR-2015-122 on Oct. 29 that those born before July 1, 1945 generally must receive payments from their IRAs by Dec. 31. READ MORE

By ASPPA Net Staff10/29/2015 • 0 Comments

The Department of Labor’s proposed fiduciary rule would make many changes; one of which is the definition of what constitutes a recommendation. READ MORE

By ASPPA Net Staff10/28/2015 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) said Oct. 28 that the 2016 annual maximum guaranteed benefit for a retiree at age 65, as well as that for multiemployer plans, will remain at the same levels as those set for 2015. READ MORE

By ASPPA Net Staff10/28/2015 • 0 Comments

The U.S. House of Representatives passed legislation Oct. 27 that would block the Department of Labor from finalizing its fiduciary proposal until the Securities and Exchange Commission weighs in. READ MORE

By ASPPA Net Staff10/27/2015 • 0 Comments

An Oct. 23 hearing by a subcommittee of the House Financial Services Committee became the latest stage on which House members expressed frustration over proposals related to fiduciary regulation. READ MORE

By ASPPA Net Staff10/27/2015 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) has raised the per-participant flat premium rates and the variable-rate premium for single-employer plans for plan years beginning in 2016. READ MORE

By ASPPA Net Staff10/26/2015 • 0 Comments

In “Fiduciary Breach: Avoidance and Mitigation,” a webcast by Bruce Ashton that will be held from 2:00-3:40 p.m. ET on Oct. 28, Bruce Ashton will address the breaches a fiduciary may encounter and how fiduciaries can mitigate their liability. READ MORE

By ASPPA Net Staff10/23/2015 • 0 Comments

Concerned that prior guidance has discouraged the embrace of “economically targeted investments,” the Department of Labor has issued a new interpretive bulletin. READ MORE

By John Iekel10/23/2015 • 0 Comments

In an Oct. 21 session at the ASPPA Annual Conference, James E. Holland discussed the trees in the thick forest of rules concerning defined benefit lump sum issues. READ MORE

By ASPPA Net Staff10/22/2015 • 0 Comments

Here’s a recap of our coverage of sessions and speakers from the 2015 ASPPA Annual Conference: READ MORE

By ASPPA Net Staff10/21/2015 • 0 Comments

As expected, most of the compensation limits for 2016 are unchanged, because the increase in the cost-of-living index did not meet the statutory thresholds that trigger their adjustment — but there were some increases in the rates the IRS released on Oct. 21. READ MORE

By ASPPA Net Staff10/15/2015 • 0 Comments

There will be no cost-of-living adjustment (COLA) for Social Security this year — a precursor of what can be expected for retirement plan contribution and benefit limits. READ MORE

By ASPPA Net Staff10/13/2015 • 0 Comments

W. Thomas Reeder, Jr., is the new Pension Benefit Guaranty Corporation (PBGC) Director; President Obama had sent his nomination of Reeder to the Senate on May 21, and the Senate in a voice vote confirmed him Oct. 8. READ MORE

By ASPPA Net Staff10/12/2015 • 0 Comments

The IRS and Treasury have taken steps that curb lump sum pension buyout offers by pension plans to those receiving ongoing payments; in a recent post on his “Nerd’s Eye View” blog, Michael Kitces offers his take on what these actions mean. READ MORE

By ASPPA Net Staff10/8/2015 • 0 Comments

Three former chairs of the Securities and Exchange Commission (SEC) said at a TD Ameritrade summit in Washington, D.C. on Oct. 6 that they want the agency they ran to join the effort to set a fiduciary rule. READ MORE

By ASPPA Net Staff10/8/2015 • 0 Comments

The Consumer Financial Protection Bureau and the Federal Trade Commission have taken steps to curb questionable practices concerning pension advance transactions, the Government Accountability Office (GAO) says in a report it recently issued. READ MORE

By John Ortman10/8/2015 • 0 Comments

Economist Robert Litan has responded on Forbes.com to accusations of conflicts of interest leveled the last week of September by Sen. Elizabeth Warren (D-Mass.) that cost him his position at the Brookings Institution. READ MORE

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