Compliance News PLANADVISER July/August 2019

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.

Products

September 11th, 2024

An ERISA Advisory Council meeting introduced strategies to incorporate retirement income solutions into qualified default income alternatives.

Compliance

September 3rd, 2024

FINRA fined two of the firm’s subsidiaries a total of $1.8 million for allegations of failing to properly review mutual...