Compliance News PLANADVISER March/April 2018

Compliance News

Legislative and Judicial Actions

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Compliance

October 4th, 2024

The guidance clarifies exclusions that prevent certain part-time employees from contributing to a plan.

Deals & People

October 3rd, 2024

Gurbir Grewal’s SEC tenure will be remembered for his aggressive actions that spurred changes in financial advisement, and his successor...

Compliance

September 24th, 2024

The firms will pay a total of $88.2 million in civil penalties.