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 Staff9/19/2018 • 0 Comments

The rules on rollovers have changed – most recently as a part of tax reform – and the IRS has now updated the safe harbor notices. READ MORE

By John Iekel 9/17/2018 • 0 Comments

The IRS has granted a variety of forms of relief for individuals as well as businesses that are victims of Hurricane Florence, and includes requirements related to compensation. READ MORE

By Ted Godbout9/17/2018 • 0 Comments

The Department of Labor recently announced the creation of a new Office of Compliance Initiatives to promote greater understanding of federal labor laws and regulations, including those involving retirement security. READ MORE

By John Iekel 9/17/2018 • 0 Comments

The ASPPA webcast “Didn’t See THAT Coming: Seven Industry Trends Will Shape the Future” focused on major factors that will affect the retirement industry for years to come. READ MORE

By John Iekel 9/17/2018 • 0 Comments

A feature article that appeared in the Summer 2018 issue of Plan Consultant magazine offers a refresher on split-funded funds and the interaction between retirement plans and life insurance. READ MORE

By Ted Godbout9/17/2018 • 0 Comments

A component of President Trump’s retirement security Executive Order is to review the RMD rules to see if they may be forcing Americans to make unnecessary withdrawals, leaving them with insufficient savings later in life. READ MORE

By Ted Godbout9/14/2018 • 0 Comments

On Sept. 13 the House Ways & Means Committee approved on party-line votes three tax bills as part of the Tax Reform 2.0 push – one of which focuses on retirement savings. READ MORE

By John Iekel 9/13/2018 • 0 Comments

The PBGC is issuing rules to implement its authority to facilitate mergers and transfers between multiemployer pension plans, the agency announced on Sept. 13. READ MORE

By John Iekel 9/11/2018 • 0 Comments

The price of recordkeeping services is not uniform; it can vary depending on type of retirement plan. A blog entry discusses why pricing for 401(k)s is different from that for 403(b)s. READ MORE

By Ted Godbout9/11/2018 • 0 Comments

House Ways and Means Committee Chairman Kevin Brady (R-TX) has released the details of his tax reform 2.0 legislation, and it includes significant retirement savings changes, including multiple employer plans (MEPs). READ MORE

By John Iekel 9/10/2018 • 0 Comments

The IRS has issued a reminder regarding the importance of making sure that tax treatment of pension payments is correct, in light of the enactment of the Tax Cuts and Jobs Act (TCJA) in December 2017. READ MORE

By John Iekel 9/10/2018 • 0 Comments

President Trump’s executive order boosts MEPs, but they’re not an innovation of 2018. A recent white paper looks at their history, where they stand, and what may lie ahead for them. READ MORE

By Nevin Adams 9/10/2018 • 0 Comments

Over the coming weeks, a question that you’re likely to see posed (again and again) about the President’s Executive Order is – “will it work?” READ MORE

By John Iekel9/6/2018 • 0 Comments

The Keystone State’s two largest public pension systems — the Public Employees’ Retirement System and the School Employees’ Retirement System — are under scrutiny concerning their finances. READ MORE

By John Iekel 9/5/2018 • 0 Comments

The Pension Benefit Guaranty Corporation on Sept. 4 announced that it has modified the Comprehensive Premium Filing Instructions for 2018 Plan Years. READ MORE

By Nevin Adams 9/4/2018 • 0 Comments

President Trump’s Executive Order has three specific directives – and some specific timetables for action on those directives. READ MORE

By Nevin Adams 8/31/2018 • 0 Comments

President Trump has given the anticipated boost to multiple employer plans (MEPs), while also offering the prospects for some distribution relief for participants – and even some help on electronic disclosures. READ MORE

By ASPPA Net Staff8/30/2018 • 0 Comments

The retirement industry is all abuzz about President Trump’s appearance in Charlotte Aug. 31 – and about what might be the subject of that executive order “strengthening retirement security in America.” READ MORE

By John Iekel 8/29/2018 • 0 Comments

A recent column suggests some best practices for finding missing participants. READ MORE

By John Iekel 8/28/2018 • 0 Comments

A recent blog post makes suggestions regarding how to monitor and exercise active involvement in how plan funds are managed, even if functions investment committees commonly perform have been delegated or outsourced. READ MORE

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