Compliance News
Legislative and Judicial Actions
States updating annuity standards; Senate confirms a Labor secretary; GAO presses the DOL to clarify cybersecurity guidance; and more.
Reported by
PLANADVISER staff
To access this premium content, please sign up for a free account!
You Might Also Like:
DOL Provides Guidance on Mental Health Parity, but Gaps Remain
Although the Department of Labor identified three high-priority areas of enforcement, what constitutes a violation is still unclear.
Democratic Senators Push FINRA to Require Account Transfer Locks, Notifications
Senators Elizabeth Warren and Ron Wyden warned the self-regulator about the growing fraud associated with asset transfers between brokerages.
CGI Sued for 401(k) Fund Underperformance
Plaintiffs claim the plan lost $168 million because the employer maintained a fund that persistently underperformed and experienced mass outflows.
