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 Staff2/23/2018 • 0 Comments

April Fools Day is not far off, but the joke's on a plan that forgets the April 1 deadline for the first RMD to terminated vested participants who attained age 70½ in 2017 and to participants older than age 70½ who retired in 2017. READ MORE

By Andrew Remo2/23/2018 • 0 Comments

Concerned that the Labor Department’s fiduciary rule could be pared back, Maryland is considering extending fiduciary duty under state law. READ MORE

By John Iekel 2/22/2018 • 0 Comments

In a Feb. 21 letter to Acting IRS Commissioner David Kautter, Rep. Richard Neal (D-MA) has requested that the IRS reevaluate the new VCP user fees announced earlier this year. READ MORE

By ASPPA Net Staff2/21/2018 • 0 Comments

In a recent blog post, Fred Reish focuses on the issue of “reasonable compensation” and what, if any, changes will be made to that requirement. READ MORE

By John Iekel 2/21/2018 • 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 Nevin Adams 2/20/2018 • 0 Comments

The Massachusetts Securities Division filed charges against Scottrade for knowingly violating its internal policies regarding DOL fiduciary rule implementation — which plaintiffs seeking to overturn that rule say validates their concerns. READ MORE

By Nevin Adams 2/15/2018 • 0 Comments

The Massachusetts Securities Division has filed charges against a firm for knowingly violating its internal policies regarding implementation of the DOL fiduciary rule — and taken a shot at the Department of Labor. READ MORE

By John Iekel 2/15/2018 • 0 Comments

The PBGC has proposed that some of its records systems be modified, some rescinded and new ones introduced. READ MORE

By John Iekel 2/13/2018 • 0 Comments

The IRS and Treasury have proposed a plan to streamline tax regulations, including some that are related to and affect retirement plans. READ MORE

By ASPPA Net Staff2/12/2018 • 0 Comments

In its FY 2019 budget request, the Securities and Exchange Commission is seeking a slight increase in funding for inspections and examinations. READ MORE

By John Iekel 2/12/2018 • 0 Comments

Many plan documents are requirements. So too, are fiduciary duties. Do the two intersect? READ MORE

By John Iekel 2/9/2018 • 0 Comments

The IRS and Treasury Department have issued an update to their joint 2017-18 Priority Guidance Plan. READ MORE

By Ted Godbout2/9/2018 • 0 Comments

The two-year budget agreement that Congress passed in the early morning hours of Friday, Feb. 9 includes several tax policy changes affecting retirement plans. READ MORE

By John Iekel 2/9/2018 • 0 Comments

The Feb. 8 ASPPA Washington Update for the first quarter of 2018 offered a look at a variety of current issues. READ MORE

By John Iekel 2/8/2018 • 0 Comments

The SEC Office of Compliance Inspections and Examinations has retirement savers in mind this year in its 2018 examination priorities. READ MORE

By Ted Godbout2/8/2018 • 0 Comments

Witnesses at a Feb. 6 Senate committee hearing debated current challenges and offered proposals to help so-called “gig economy” workers save for retirement. READ MORE

By John Iekel 2/7/2018 • 0 Comments

The recently enacted Tax Cuts and Jobs Act of 2017 (TCJA) will not affect 2018 pension plan limitations, the IRS said on Feb. 6 in IR-2018-19. READ MORE

By Kenneth Marblestone2/2/2018 • 0 Comments

The 2018 Eastern Regional Conference will be held at the Doubletree Center City Hotel in Philadelphia on Thursday, April 26 and Friday, April 27. READ MORE

By Ted Godbout1/31/2018 • 0 Comments

Total monetary recoveries by EBSA's enforcement and oversight activity in FY 2017 were up from the previous year, according to an annual fact sheet released by the agency. READ MORE

By Nevin Adams 1/31/2018 • 0 Comments

The American Retirement Association has taken issue with the new VCP fee structure and approach taken by the IRS, stressing that it is “unfair to small employers, and will have an adverse impact on plan participants.” READ MORE

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