Compliance News PLANADVISER January/February 2019

Compliance News

Legislative and judicial actions

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Compliance

June 16th, 2025

Citing Strategic Shift, SEC Withdraws 14 Biden-Era Proposals

According to the notice, the proposals cover areas such as cybersecurity, ESG disclosures and shareholder rights.

Compliance

June 11th, 2025

ERISA Advisory Council Releases QDIA Recommendations to DOL

The report was released after Democrats in Congress raised concerns about the council’s future, as it has not met since...

Compliance

June 11th, 2025

SEC’s Director of Investment Management to Step Down

Natasha Vij Greiner, who has led the division since March 2024, leaves after more than 23 years at the SEC.

Investment Focus PLANADVISER January/February 2019

Most TDFs Are Actively Managed

Passively managed target-date funds make up a small universe

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Compliance

March 6th, 2025

PPL Corp. Agrees to Settle Participant Lawsuit Over TDFs for $8.2M

Workers at the energy company claimed that PPL included underperforming target-date investments from Northern Trust in four of its retirement...

The Markets

February 13th, 2025

Income Target-Funds Reach $22B in Assets in 2024

A majority of workers participating in employer-sponsored plans (86%) said they want their employers to offer in-plan retirement income options.

Compliance

January 17th, 2025

SEC Fines Vanguard for Misleading Retail Target-Date Fund Investors

The regulator determined that the firm failed to provide accurate details regarding the capital gains and tax consequences associated with...