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 John Iekel6/18/2015 • 0 Comments

The June 17 Health, Employment, Labor and Pensions Subcommittee hearing provided ample illustration that the debate on the Department of Labor’s fiduciary proposal is far from over. READ MORE

By ASPPA Net Staff6/16/2015 • 0 Comments

The Department of Labor will hold hearings on the fiduciary proposal Aug. 10-12, and will accept comments on the proposed rule and exceptions through July 21. READ MORE

By ASPPA Net Staff6/11/2015 • 0 Comments

ASPPA’s Government Affairs Committee has filed comments with the Office of Management and Budget to express concern about the IRS estimates of the cost burdens associated with new questions on the 2015 Form 5500 series, including the new Form 5500-SUP. READ MORE

By ASPPA Net Staff6/11/2015 • 0 Comments

The Department of Labor intends to finalize its re-proposed rule defining a fiduciary in May of next year, Groom Law Group Chairman Steve Saxon said on June 8.
READ MORE

By ASPPA Net Staff6/10/2015 • 0 Comments

The Internal Revenue Service has provided a new, permanent program for late filing Form 5500-EZ. READ MORE

By ASPPA Net Staff6/10/2015 • 0 Comments

The IRS has updated guidance on master and prototype, and volume submitter, plan applications for opinion and advisory letters.
READ MORE

By ASPPA Net Staff6/8/2015 • 0 Comments

Bipartisan legislation introduced in the U.S. House of Representatives June 4 would allow pension plan participants to be automatically opted in to electronic delivery of documents. READ MORE

By ASPPA Net Staff6/4/2015 • 0 Comments

Three dozen individuals and organizations submitted comments on the Department of Labor’s April 14 fiduciary proposal during the first month of the comment period. READ MORE

By ASPPA Net Staff6/4/2015 • 0 Comments

House Education and the Workforce Committee Chairman John Kline (R-Minn.) and Health, Employment, Labor and Pensions Subcommittee Chairman Phil Roe (R-Tenn.) in a June 2 letter to Labor Secretary Perez again asked for more information concerning the DOL’s fiduciary proposal. READ MORE

By ASPPA Net Staff6/3/2015 • 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 Staff5/29/2015 • 0 Comments

The Bipartisan Policy Center convened what at least one participant termed a “policy wonk throwdown” in the nation’s capital May 27. The subject? The Department of Labor’s fiduciary proposal. READ MORE

By ASPPA Net Staff5/29/2015 • 0 Comments

The recent Department of Labor (DOL) study finding deficiencies in audits of employee benefit plans does not translate to a statement about how viable those plans are, says the American Institute of CPAs (AICPA) in a May 28 statement.
READ MORE

By ASPPA Net Staff5/28/2015 • 0 Comments

A study the Department of Labor did of its audits of employee benefits plans shows that the department needs to improve the quality of those audits. READ MORE

By ASPPA Net Staff5/26/2015 • 0 Comments

On May 20, President Obama announced his intent to nominate a number of individuals to key Administration posts, including the Pension Benefit Guaranty Corporation.
READ MORE

By ASPPA Net Staff5/22/2015 • 0 Comments

Employers, plan administrators, third party administrators and others associated with multiemployer plans have received reassurance regarding the scope of the Pension Benefit Guaranty Corporation’s proposed rule on mandatory e-filing for certain multiemployer notices. READ MORE

By ASPPA Net Staff5/21/2015 • 0 Comments

ASPPA Executive Director and CEO Brian Graff opened ASPPA’s first-ever virtual conference with a discussion of “the elephant in the room” — the Department of Labor’s reproposal concerning the definition of who is a fiduciary.
READ MORE

By ASPPA Net Staff5/21/2015 • 0 Comments

ASPPA’s first-ever virtual conference provided more than critical information on important issues — it also afforded an opportunity to gain the expert speakers’ insights on particular situations and matters. READ MORE

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

«« First |1 2 3 4 5 6 7 ... 45 46 47 48 49 50 51 52 53 54 | Last ››