Compliance

Retirement plan fiduciaries at the specialty chemical company are accused of failing to take advantage of the lowest cost share class for many of the mutual funds offered...

The self-dealing lawsuit suggests the firm failed to monitor or control the plan’s administrative expenses, allegedly costing the plan millions of dollars in excessive administrative fees.

The proposed settlement agreement includes non-monetary provisions restricting the 401(k) plan’s recordkeeper from cross-selling retail financial products and services to participants

ERISA attorneys are grappling with the potential implications of the Supreme Court’s new ruling in Intel vs. Sulyma; some are speculating the growing use of electronic delivery methods...

The lawsuit says for at least 18 of the 27 mutual fund share classes available within The Vail Corporation plan, the same issuer offered a different share class...

The new ruling is being hailed as a victory for retirement plan participants as well as a potentially important precedent-setting case impacting the special three-year statute of limitations...

The high court decided that a court in Puerto Rico had no jurisdiction to order the seizure of property from Catholic entities in order to fulfill a court...

The plaintiffs allege Hilton is not using an elapsed time method dictated by a prior court decision.

“The use of mortality data that is over 40 years old could, plausibly, be unreasonable,” the ruling states.

The new regulations, which go into effect on March 6, will require broker/dealers and their agents to provide investment advice and recommendations 'without regard to the interests of...

The Department of Labor brought the underlying case and has argued successfully in opposition to the defendants’ dismissal motion, which has now been denied.

Retirees sued for denial of benefits, claiming Delta was wrong to offset their pension payments by a workers' compensation settlement they received.

Advisers will play an important role in helping plan sponsors perform their due diligence and helping participants accept annuities.

They have filed a motion to have the plaintiffs' attorneys disqualified.

The firm has successfully argued that it is entitled to negotiate and collect revenue-sharing fees from mutual fund companies in exchange for representation on its FundsNetwork platform.

This week, the California attorney general proposed a set of important changes to the California Consumer Privacy Act (CCPA), giving stakeholders until February 25 to submit their comments.

The National Association of Insurance Commissioners sees its new conflict of interest regulations as working in harmony with the Securities and Exchange Commission’s Regulation Best Interest.