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 Iekel 7/13/2018 • 0 Comments

A good offense is often the best defense. A maxim used in many contexts, and a July 10 ASPPA Webcast suggests that taking extra care to ensure that your Form 5500 is correct is one of them. READ MORE

By Nevin Adams 7/12/2018 • 0 Comments

Comments from the American Retirement Association have led to changes in a DOL enforcement letter.
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By Nevin Adams 7/9/2018 • 0 Comments

If you thought all the fiduciary rule litigation was over, think again: Turns out that litigation pending in the U.S. District Court for the District of Minnesota is still, well — pending. READ MORE

By Nevin Adams 7/6/2018 • 0 Comments

As we celebrate the Declaration that marks the birth of this nation, it seems a good time to reflect on some lessons from that experience that hold true even today — and that apply to retirement plans and their administration. READ MORE

By John Iekel 7/6/2018 • 0 Comments

A recent paper argues that financial literacy, and not the length and relative complexity of the information participants receive, is most important in helping participants prepare for financial stability during retirement. READ MORE

By John Iekel 7/3/2018 • 0 Comments

The PBGC is changing the way it provides and announces relief when a disaster happens. READ MORE

By John Iekel 6/27/2018 • 0 Comments

The ARA has submitted a comment letter to the IRS asking for some clarifications regarding the new procedures for the pre-approved plan document program, as well as making recommendations and a request. READ MORE

By Nevin Adams6/26/2018 • 0 Comments

Massachusetts Secretary of the Commonwealth William F. Galvin has charged MetLife with making misleading statements relating to its failure to make pension payments to hundreds of Massachusetts retirees. READ MORE

By ASPPA Net Staff6/26/2018 • 0 Comments

The American Retirement Association is asking Congress to expand the self-correction program within the IRS’ Employee Plans Compliance Resolution System to enable businesses with retirement plans to more easily correct common mistakes. READ MORE

By John Iekel 6/25/2018 • 0 Comments

Missing participants and what to do about them were the grist for a recent expert panel discussion. READ MORE

By John Iekel6/22/2018 • 0 Comments

“The dog ate my homework.” We all miss deadlines. But sometimes there are extenuating circumstances, as even the IRS recognizes — for instance, regarding required minimum distributions (RMDs). READ MORE

By Nevin Adams6/21/2018 • 0 Comments

After weeks of anticipation, the 5th Circuit Court of Appeals finally issued its mandate vacating the DOL fiduciary rule on June 21. READ MORE

By Nevin Adams 6/20/2018 • 0 Comments

In what looks to be a first in excessive fee litigation, a court has ordered plaintiffs to produce some Facebook posts. READ MORE

By Nevin Adams 6/20/2018 • 0 Comments

The DOL has unveiled the final version of a rule that allows more small businesses and self-employed workers to band together to buy health insurance — and may have dropped a small hint about retirement MEPs. READ MORE

By John Iekel 6/18/2018 • 0 Comments

Experts at the recent 2018 SPARK Institute National Conference held in National Harbor, MD addressed online threats to financial assets — virtual, but also very real. READ MORE

By ASPPA Net Staff6/18/2018 • 0 Comments

How does the best interest standard of care in the SEC’s Regulation Best Interest compare to the standard of care in the DOL’s Best Interest Contract Exemption (BICE)? READ MORE

By John Iekel 6/15/2018 • 0 Comments

The Oregon Retirement Savings Board has provided an update on recent activities, implementation and future steps concerning the OregonSaves state-sponsored savings program for private sector employees. READ MORE

By Ted Godbout6/15/2018 • 0 Comments

While June 13 was widely cited as the last day the DOL could appeal to the U.S. Supreme Court the 5th Circuit’s ruling vacating the fiduciary rule, that day has now come – and gone. READ MORE

By John Iekel 6/13/2018 • 0 Comments

A recently released white paper suggests that while embracing innovation in the features and options added to a plan, it is important to be mindful of fiduciary duties. READ MORE

By ASPPA Net Staff6/13/2018 • 0 Comments

Guess how many CE credits you can get at the ASPPA Annual Conference. READ MORE

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