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 Iekel7/26/2017 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) is inviting comment on what regulatory — and deregulatory — actions it should take. READ MORE

By ASPPA Net Staff7/25/2017 • 0 Comments

A group of lawmakers has responded to the DOL's request for information on the fiduciary regulation delay — by expressing concern that the RFI would be a pretext for revising the final rule. READ MORE

By John Iekel7/21/2017 • 0 Comments

Fiduciary duties and functions have been discussed… just a little… over the last few years. But a recent blog entry suggests that cybersecurity should be added to them. READ MORE

By John Iekel7/21/2017 • 0 Comments

The July 1 launch of the Oregon Retirement Savings Program (OregonSaves) pilot has been a success, says a report by the Oregon Retirement Savings Board. READ MORE

By ASPPA Net Staff7/21/2017 • 0 Comments

The House Education and the Workforce Committee approved legislation July 19 that would repeal the DOL fiduciary regulation. READ MORE

By John Iekel7/20/2017 • 0 Comments

President Trump’s executive order intended to cut tax regulatory burdens does not apply to retirement-related regulations and actions by the IRS, the Treasury has indicated. READ MORE

By John Iekel7/18/2017 • 0 Comments

The IRS Office of the Chief Counsel has reiterated an earlier IRS statement that Congress did not intend the one-rollover-per-year limit for IRAs to apply when the custodial institution fails. READ MORE

By Ted Godbout7/18/2017 • 0 Comments

To help prevent retirement plan cashout leakage when workers change jobs, 11 Senators sent a letter to Labor Secretary Acosta asking the DOL to issue guidance clarifying the application of ERISA to auto portability features. READ MORE

By Nevin Adams 7/18/2017 • 0 Comments

In a July 18 letter responding to the DOL's request for information on its fiduciary rule, the American Retirement Association has requested an extension of the applicability date — and a streamlined levelized fee exemption. READ MORE

By ASPPA Net Staff7/17/2017 • 0 Comments

House Education and the Workforce Committee on July 19 will markup the Affordable Retirement Advice for Savers Act, a bill that would repeal the DOL's fiduciary rule. READ MORE

By ASPPA Net Staff7/17/2017 • 0 Comments

Fred Reish looks at two issues concerning the Best Interest Contract Exemption in the DOL's recent request for information about the fiduciary regulation. READ MORE

By Ted Godbout7/14/2017 • 0 Comments

Witnesses at a House Financial Services subcommittee hearing largely supported a bill to repeal the current DOL fiduciary rule and direct the SEC to take the lead in regulating the standards of care for investment advice. READ MORE

By John Iekel7/13/2017 • 0 Comments

Keeping abreast of the whereabouts and life status of retirees and beneficiaries — and even terminated vested participants — are increasingly important fiduciary responsibilities. READ MORE

By ASPPA Net Staff7/12/2017 • 0 Comments

An Ohio man has been indicted by a federal grand jury for stealing money from… the nation’s private pension insurer. READ MORE

By John Iekel7/10/2017 • 0 Comments

The last word one would associate with the DOL's fiduciary rule is “dispassionate.” But that accurately describes a new report about it by the Congressional Research Service. READ MORE

By ASPPA Net Staff7/7/2017 • 0 Comments

Discretion is said to be the better part of valor — but that’s not necessarily the case with discretionary accounts and the fiduciary regulation. READ MORE

By ASPPA Net Staff7/6/2017 • 0 Comments

The Pension Benefit Guaranty Corporation (PBGC) has issued its updated Pension Insurance Data Books and Tables. READ MORE

By Nevin Adams 7/5/2017 • 0 Comments

The comment period on the fiduciary rule request for information (RFI) is short — and it started July 6. READ MORE

By ASPPA Net Staff7/5/2017 • 0 Comments

DB plans, DC plans and 403(b) annuity arrangements with calendar plan years should keep in mind that the July 31 Form 5500 filing deadline for the 2016 plan year is not far off. READ MORE

By Nevin Adams 7/3/2017 • 0 Comments

A participant in a plan with 27 participants is seeking the return of the “excessive and unreasonable asset-based fees charged by Nationwide for recordkeeping and administrative services, and to prevent Nationwide from charging those excessive fees in the future.” READ MORE

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