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 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The PBGC has proposed that some of its records systems be modified, some rescinded and new ones introduced.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 John Iekel 2/9/2018 • 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 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

By John Iekel 1/31/2018 • 0 Comments

The IRS has reviewed and updated the information it provides in frequently asked questions (FAQs) concerning recharacterizations of IRA contributions. READ MORE

By Nevin Adams1/30/2018 • 0 Comments

Whoever said ignorance was bliss surely wasn’t talking about fiduciary litigation. READ MORE

By ASPPA Net Staff1/26/2018 • 0 Comments

ERISA attorney Fred Reish looks at another “mistaken belief” about the fiduciary regulation. READ MORE

By ASPPA Net Staff1/26/2018 • 0 Comments

A recent conversation spotlights errors commonly found in a retirement plan audit and ways to prevent them. READ MORE

By John Iekel 1/22/2018 • 0 Comments

A recent analysis suggests that the SEC’s take on a fiduciary standard may be inching closer to that of the DOL. READ MORE

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