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Compliance

January 20, 2017

Everything You Wanted to Know About Form 5500

The Form 5500 is a foundational document for all qualified retirement plan clients; advisers can expect the document to be shared among regulators for potential review. 

January 13, 2017

SEC Names Retirement Investments Among 2017 Exam Priorities

Among the topline priorities for the Securities and Exchange Commission’s examination staff during 2017 will be “the services provided by public pension advisers” and an “expanding focus on senior investors and individuals investing for retirement.”