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 Ted Godbout12/12/2017 • 0 Comments

House Ways & Means Committee Chairman Kevin Brady (R-TX) has announced that House and Senate conferees will hold an open meeting on Dec. 13 to begin reconciling the chambers’ versions of tax reform. READ MORE

By Nevin Adams 12/8/2017 • 0 Comments

A scheme targeting individual 401(k) accounts, potentially at multiple recordkeepers, has resulted in a lawsuit by the U.S. Attorney’s office in Colorado to recover as much as $2 million in losses. READ MORE

By John Iekel12/6/2017 • 0 Comments

The IRS on Dec. 5 issued Notice 2017-72, which contains the 2017 remedial amendment list for individually designed qualified retirement plans. READ MORE

By John Iekel12/5/2017 • 0 Comments

IRAs play an increasingly large and important role in bolstering retirement readiness, says a recent analysis — and rollovers are a critical part of that vitality. READ MORE

By Ted Godbout12/4/2017 • 0 Comments

After a long and sometimes heated debate, the Senate took a major step toward enactment of landmark tax reform legislation, approving its version of the Tax Cuts and Jobs Act (H.R. 1) at nearly 2:00 a.m. Saturday, Dec. 2. READ MORE

By John Iekel12/1/2017 • 0 Comments

Ritual marks the onset of a new year — but it’s not just about revelry and pageantry. It’s also about making sure plan-related duties that are on a calendar-year timeline are fulfilled in time. READ MORE

By John Iekel11/30/2017 • 0 Comments

A recent blog entry reminds that there are fiduciary considerations associated with offering actively managed accounts in a DC plan. READ MORE

By ASPPA Net Staff11/30/2017 • 0 Comments

Financial wellness programs provide help to participants in achieving their short-, intermediate- and long-term financial objectives — some of that advice is fiduciary and some is not. READ MORE

By Doug Fisher11/30/2017 • 0 Comments

Senate Republican leaders are floating the idea of increasing the deduction for qualified business income of pass-through businesses from 17.4% to 20%, which could have consequences for retirement plans sponsored by S Corporation shareholders. READ MORE

By John Iekel11/29/2017 • 0 Comments

PBGC Director Thomas Reeder at a Nov. 29 hearing of the House Education and Commerce Committee’s Subcommitee on Health, Education, Labor and Pensions discussed the status of the Multiemployer Pension Program. READ MORE

By ASPPA Net Staff11/29/2017 • 0 Comments

Legislation has been introduced in the U.S. House of Representatives that would boost the cashout limit for retirement plans, which its sponsors say will help make it easier for small businesses to offer retirement plans. READ MORE

By Ted Godbout11/28/2017 • 0 Comments

An 18-month extension of the transition period for the Prohibited Transaction Exemption (PTE) amendments and applicability dates for the Department of Labor’s fiduciary rule has been finalized. READ MORE

By John Iekel11/27/2017 • 0 Comments

The safety net the PBGC provides through its pension plan insurance programs covered more plans and participants in federal fiscal year (FY) 2017, the agency reports. READ MORE

By Ted Godbout11/27/2017 • 0 Comments

As we all emerge from our turkey-induced food coma, all eyes will now be on the U.S. Senate, as Congress returns from its Thanksgiving break to make the final push to approve tax reform by the end of the year. READ MORE

By John Iekel11/27/2017 • 0 Comments

Required minimum distributions may be among a plan's innocuous responsibilities, but a recent blog entry cautions that one fails to keep them in mind at one’s peril. READ MORE

By Nevin Adams 11/22/2017 • 0 Comments

Thanksgiving has been called a “uniquely American” holiday, and though that is perhaps something of an overstatement, it is unquestionably a special holiday, and one on which it seems appropriate to reflect on all for which we should be thankful. READ MORE

By Ted Godbout11/22/2017 • 0 Comments

Several years ago the DOL sought to improve retirement plan fee disclosures, but new research suggests many workers are not reading plan disclosures and are unfamiliar with fees being charged for managing their funds. READ MORE

By John Iekel11/22/2017 • 0 Comments

A recent blog entry discusses the beneficiary options under the RMD regulations that were issued on April 17, 2002, and the importance of the distinctions. READ MORE

By Nevin Adams11/21/2017 • 0 Comments

In a big win for the lobbying efforts of the American Retirement Association’s Government Affairs Committee (GAC), the IRS has dropped a series of compliance questions from the 2017 Form 5500. READ MORE

By John Iekel11/20/2017 • 0 Comments

First, do no harm. A term commonly applied to the practice of medicine, but a recent blog post by Christopher Carosa applies it to fiduciary practices. READ MORE

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