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 Nevin Adams2/23/2015 • 0 Comments

Exceptions should not be the rule, at least not when it comes to the Department of Labor’s fiduciary regulation reproposal, according to a new white paper from the U.S. Chamber of Commerce.

By ASPPA Net Staff2/20/2015 • 0 Comments

The Pension Benefit Guaranty Corporation is seeking input on the implementation of the Multiemployer Pension Reform Act provisions concerning partition of multiemployer plans andrules for mergers of multiemployer plans. READ MORE

By ASPPA Net Staff2/18/2015 • 0 Comments

A growing number of employers plan to act this year to curb the cost of future Pension Benefit Guaranty Corporation premiums, according to Aon Hewitt. READ MORE

By ASPPA Net Staff2/17/2015 • 0 Comments

The ERISA public disclosure website — which houses filings by health and pension plans of private employers — is headed for the cloud. READ MORE

By Nevin Adams2/10/2015 • 0 Comments

In a Feb. 5 letter from Senate Committee on Homeland Security and Government Affairs Chairman Ron Johnson (R-Wisc.) to Secretary of Labor Thomas Perez, the committee requests that the DOL better explain its fiduciary regulation reproposal. READ MORE

By ASPPA Net Staff2/5/2015 • 0 Comments

The IRS cautions that entering incorrect information — or in some cases, leaving a field blank — on the Form 5500 increases the likelihood of being targeted for a compliance check.

By Judy Miller2/3/2015 • 0 Comments

President Obama’s 2016 budget has been issued, and while parts could expand retirement plan coverage, others are likely to undermine those good intentions.


By ASPPA Net Staff1/30/2015 • 0 Comments

The Pension Benefit Guaranty Corporation on Jan. 29 announced that the Office of Management and Budget has approved revisions it made to the forms and instructions for standard and distress terminations and missing participants.

By ASPPA Net Staff1/30/2015 • 0 Comments

The White House memo on the DOL’s proposal to redefine what constitutes a fiduciary continues to engender negative reaction. READ MORE

By Nevin Adams1/30/2015 • 0 Comments

The 114th Congress has gotten off to a quick start with retirement legislation.

By John Iekel1/26/2015 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) was not arbitrary and capricious when it concluded that Kentucky Bancshares was obliged to comply with the Pension Protection Act and ERISA when it terminated its retirement plan and trust, the 6th Circuit has ruled.

By ASPPA Net Staff1/20/2015 • 0 Comments

A year ago, President Obama touted the voluntary MyRA in his State of the Union Address — but the White House has a lot more to say about retirement this year — and it’s a lot less voluntary.

By ASPPA Net Staff1/15/2015 • 0 Comments

Funding levels of pension plans sponsored by the S&P 1500 fell by 9 percentage points in 2014, from 88% to 79%. According to Mercer, the plans’ collective deficits more than doubled last year, reaching $504 billion at year-end.

By Nevin Adams1/15/2015 • 0 Comments

The 7th U.S. Circuit Court of Appeals has outlined the conditions for determining the existence of a partial plan termination, ruling on the fifth appeal of what it called a “seemingly interminable class action suit.”

By Nevin Adams1/14/2015 • 0 Comments

Illinois Attorney General Lisa Madigan (D) is arguing that the Land of Lincoln has “police powers” that allow it to change a contract in extraordinary circumstances, including changes to the state’s public pensions contained in a 2013 pension overhaul.

By John Iekel1/13/2015 • 0 Comments

The Pension Benefit Guaranty Corporation on Jan. 12 issued a draft of the 2015 premium filing form and instructions. It provides information for plans paying premiums for plan years beginning in 2015, including instructions for all the particular forms of data that must be reported.

By Craig Hoffman1/12/2015 • 0 Comments

A regulation that would allow for a “window” period for giving out the annual notice required in most 401(k) plans appears to be heading for a spring 2015 publication date — and that could be good news for your plan sponsor clients.

By John Iekel1/7/2015 • 0 Comments

In enforcing the law, the Pension and Benefit Guaranty Corporation (PBGC) needs to remember its mission to preserve and protect defined benefit plans; that was PBGC Participant and Plan Sponsor Advocate Constance Donovan's message in the report she issued Dec. 31. READ MORE

By John Iekel12/29/2014 • 0 Comments

All disbursements from a retirement plan scheduled to be made at the same time are treated as a single distribution even if they are sent to multiple destinations, a new rule that becomes mandatory as 2015 dawns. READ MORE

By Nevin Adams11/11/2014 • 0 Comments

The IRS issued a clarification Nov. 10 on the application of the one-per-year limit on IRA rollovers. In Announcement 2014-32, the IRS said it had received comments about the “administrative challenges presented by the Bobrow interpretation of §408(d)(3)(B).”  READ MORE

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