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 Staff8/31/2015 • 0 Comments

The IRS in Notice 2015-58, which it issued on Aug. 28, has provided guidance on the minimum funding requirements for defined benefit plans maintained by groups of cooperatives and related entities, and by groups of charities. READ MORE

By Lynn Young8/31/2015 • 0 Comments

In a recent meeting, the ACOPA leadership and the PBGC discussed the changes to the PBGC termination forms and instructions for post-distribution certifications filed on or after March 1, 2015, and the ability to do default rollovers for participants with small account balances when the plan terminates. READ MORE

By ASPPA Net Staff8/27/2015 • 0 Comments

The IRS on Aug. 25 released a draft version of the Form 5500-EZ to be used in benefit plan reporting concerning 2015. The draft is for informational purposes only, however; it is not to be used for reporting. READ MORE

By Brian Graff8/26/2015 • 0 Comments

There were four days of hearings on the Department of Labor’s proposed fiduciary rule and I kept waiting… and watching… and waiting. But it never came up. And that surprised me. READ MORE

By ASPPA Net Staff8/25/2015 • 0 Comments

The Department of Labor (DOL) stands ready to assist state governments when they work to establish public retirement plans for private-sector workers, regardless of whether those plans are covered by ERISA, according to EBSA chief Phyllis Borzi. READ MORE

By ASPPA Net Staff8/21/2015 • 0 Comments

Even if a pension plan you serve is frozen, the ice sheet doesn’t cover the Pension Benefit Guaranty Corporation (PBGC) reportable plan rules. READ MORE

By ASPPA Net Staff8/17/2015 • 0 Comments

Treasurers from states in every region of the United States, as well as two of its largest cities, sent a letter to Securities and Exchange Commission Chair Mary Jo White arguing that general partners should be required to do a better job of disclosing private equity fees. READ MORE

By ASPPA Net Staff8/14/2015 • 0 Comments

The IRS is seeking applicants to serve on the advisory committee that provides advice and public input on the IRS Tax Exempt and Government Entities (TE/GE) Division’s tax administration activities. READ MORE

By Andrew Remo8/14/2015 • 0 Comments

At times during Day Four of the Department of Labor’s (DOL) public hearing on its fiduciary rule, it felt as if everything that needs to be said has already been; however, some new topics were discussed in the final day of testimony. READ MORE

By ASPPA Net Staff8/14/2015 • 0 Comments

The IRS has issued IRA required minimum distribution (RMD) worksheets for figuring this year’s required withdrawals from traditional IRAs. READ MORE

By ASPPA Net Staff8/13/2015 • 0 Comments

Responding to a bipartisan (though primarily Republican) letter from more than a dozen members of the U.S. House of Representatives, Labor Secretary Thomas Perez says his agency will “move forward towards issuing a Final Rule” on the agency’s “conflict of interest” proposal. READ MORE

By Andrew Remo8/13/2015 • 0 Comments

Marcy Supovitz, President-Elect of the American Retirement Association, testified at the public hearing on the Department of Labor’s reproposed fiduciary rule Aug. 12. READ MORE

By Andrew Remo8/13/2015 • 0 Comments

The second day of public hearings on the Department of Labor’s fiduciary rule reproposal was highlighted by a debate over the economic impact that the rule will have on the financial services industry. READ MORE

By Andrew Remo8/11/2015 • 0 Comments

The first day of the Department of Labor’s public hearing on its re-proposed fiduciary rule Aug. 10 veered from the informative to the absurd as the department’s rule makers heard from a broad array of stakeholders on the complex subject. READ MORE

By Nevin Adams8/10/2015 • 0 Comments

The public comment period may have closed, but a group of U.S. Senators has weighed in on the proposed fiduciary regs — and lent their support to a recommendation of the American Retirement Association. READ MORE

By ASPPA Net Staff7/31/2015 • 0 Comments

Beginning Oct. 1, the IRS Employee Plans Office will no longer answer technical questions by email, nor will it accept forwarded messages from IRS Customer Account Services that had been sent to its personnel by email. READ MORE

By ASPPA Net Staff7/31/2015 • 0 Comments

The IRS on July 31 issued Notice 2015-53, which provides the mortality tables for minimum funding and present value requirements for use in 2016.

By ASPPA Net Staff7/30/2015 • 0 Comments

An IRA owner must calculate the required minimum distribution separately for each IRA that he or she owns, but can withdraw the total amount from one or more of the IRAs, the IRS reminds. READ MORE

By ASPPA Net Staff7/30/2015 • 0 Comments

The Department of Labor’s Employee Benefit Security Administration has prepared material intended to assist plan administrators in selecting an auditor and reviewing the audit work and report. READ MORE

By Nevin Adams7/28/2015 • 0 Comments

None other than a fellow federal agency has said in its a comment letter on the Labor Department’s fiduciary proposal that the proposal fails to adequately estimate its cost or the number of firms affected by it. READ MORE

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