ERISA vista
If Caught Off Guard by a Failure
Advisers can self-correct some violations of PTE 2020-02.
Reported by Fred Reish and Joan Neri
To access this premium content, please sign up for a free account!
You Might Also Like:
Managing the AI Content Explosion in Financial Services
Advisers face major compliance risks if they can no longer oversee—or explain—their AI output.
Brokers Increase AI Use as Compliance Demands Grow
iSolved found that 64% of surveyed brokers said AI is enhancing compliance tracking and reporting.
Bench Trial Ordered for Nationwide ERISA Case
The complaint alleges that Nationwide’s 401(k) plan improperly included an affiliated stable value fund that gave company employees less favorable...