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 Staff7/27/2015 • 0 Comments

Taking a cue from the boss, Labor Secretary Thomas Perez in the DOL blog has said that the DOL will issue guidance to help facilitate state-based retirement plans. READ MORE

By ASPPA Net Staff7/27/2015 • 0 Comments

The Financial Industry Regulatory Authority (FINRA) says that the Labor Department’s fiduciary proposal represents a “fractured approach” that will sow confusion for many in the retirement industry. READ MORE

By ASPPA Net Staff7/23/2015 • 0 Comments

Sharp increases in the penalties for making mistakes in information reporting will kick in for returns and statements that are required to be filed after Dec. 31, 2015. READ MORE

By ASPPA Net Staff7/23/2015 • 0 Comments

In Announcement 2015-19, the IRS on July 21 outlined changes to the employee plans determination letter program for qualified retirement plans.
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By ASPPA Net Staff7/22/2015 • 0 Comments

July 21 provided a poignant example of the back-and-forth over the proposed fiduciary rule, as Labor Secretary Thomas Perez testified on Capitol Hill about it, while across town SEC member Daniel Gallagher sent the DOL a public comment letter criticizing it. READ MORE

By ASPPA Net Staff7/21/2015 • 0 Comments

The American Retirement Association (ARA) has submitted its comment letter to the Department of Labor (DOL) on the fiduciary rule re-proposal. READ MORE

By ASPPA Net Staff7/20/2015 • 0 Comments

The Department of Labor will be changing its proposed fiduciary rule regarding brokers, DOL Deputy Assistant Secretary Timothy D. Hauser said at a July 16 Washington, D.C. meeting of the Securities and Exchange Commission’s Investor Advisory Committee. READ MORE

By ASPPA Net Staff7/16/2015 • 0 Comments

The IRS should better inform individuals about Internal Revenue Code provisions saying they must take required minimum distributions from their IRAs when they reach a certain age, says a Treasury Inspector General for Tax Administration report.
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By Nevin Adams7/10/2015 • 0 Comments

Plan sponsors who want to “de-risk” their pension plans will no longer be able to give participants who are receiving monthly annuity benefits the option to convert that benefit to a lump sum, according to new rules from the IRS. READ MORE

By ASPPA Net Staff7/9/2015 • 0 Comments

In a recent ASPPA webcast on the Form 5500, Janice Wegesin, President of JMW Consulting, cautioned attendees that the proposed Form 5500 SUP is on the horizon — and that they need to be prepared. READ MORE

By ASPPA Net Staff7/6/2015 • 0 Comments

Defined benefit plans, defined contribution plans and 403(b) annuity arrangements with calendar year plans, take note: July 31, the deadline for filing the Form 5500, is right around the corner. READ MORE

By ASPPA Net Staff7/6/2015 • 0 Comments

Efforts to stop or roll back the Department of Labor’s proposed fiduciary rule will continue, according to Steve Saxon of Groom Law Group. READ MORE

By ASPPA Net Staff6/26/2015 • 0 Comments

The DOL rule that went into effect June 17 containing fiduciary requirements for disclosure in participant-directed individual account plans has built in two additional months in which to provide the information. READ MORE

By ASPPA Net Staff6/26/2015 • 0 Comments

The Senate Appropriations Committee on June 25 in a 16-14 vote approved the fiscal year 2016 Labor, Health and Human Services (LHHS) funding bill, which denies funding that would enable the Department of Labor to implement the fiduciary rule. READ MORE

By ASPPA Net Staff6/26/2015 • 0 Comments

For the first time in more than a decade, the IRS has published an update for its Audit Technique Guide for Nonqualified Deferred Compensation Plans. READ MORE

By ASPPA Net Staff6/25/2015 • 0 Comments

Appropriations subcommittees on Capitol Hill — in the House and now in the Senate — have taken a shot at blocking the Labor Department’s fiduciary proposal by denying funding for the measure.
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By ASPPA Net Staff6/24/2015 • 0 Comments

The public comments the Department of Labor is receiving on its proposed fiduciary rule already are having an effect, Labor Secretary Thomas Perez said at June 23 Brookings Institution forum in Washington, D.C. READ MORE

By ASPPA Net Staff6/22/2015 • 0 Comments

The IRS in Revenue Procedure 2015-34 has provided procedures by which multiemployer defined benefit plans that are in critical and declining status may apply for approval to suspend benefits. READ MORE

By ASPPA Net Staff6/19/2015 • 0 Comments

The PBGC on June 19 issued an interim regulation that makes it possible for multiemployer pension plans to apply for PBGC help in funding a portion of their benefit liabilities in order to remain solvent. READ MORE

By Nevin Adams6/18/2015 • 0 Comments

A House bill would stop the Department of Labor’s fiduciary proposal by cutting off funding to implement the measure. READ MORE

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