Compliance News
Legislative and Judicial Actions
The SEC returns to cybersecurity enforcement pledge; Form 5500 revisions; revenue-sharing disclosure failures result in SEC action; and more.
Reported by PLANADVISER staff
To access this premium content, please sign up for a free account!
You Might Also Like:
GAO Recommends DOL Update TDF Guidance
GAO reports concerns about a lack of understanding of TDF glidepaths and the growth of CIT TDFs.
Unsolicited and Implied Rollovers Under the New Fiduciary Rule
Experts parse how a retirement participant’s path to making a rollover will be viewed under the final Retirement Security Rule.
Breach at J.P. Morgan Exposes Data of 451,000 Plan Participants
Participant names, addresses, Social Security numbers and bank information were exposed in an incident the bank became aware of in...