Compliance

During a webcast hosted by ACA Compliance Group, Allison Charley, a former SEC examinations office leader, explained the regulator’s internal process for picking audit targets; other speakers noted...

The complaint alleges that Stadion Money Management and Mutual of Omaha abused their managed account arrangement by putting their own interests ahead of participants’.

“Invitation to correct” letters state, “the 15th business day is not a safe harbor and is included in the regulation only as an outside limit of the time...

The mediation program now includes fiduciary disputes; opposing parties entering into the mediation program are connected with “neutral, professional and independent” mediators.

In a Q&A with PLANADVISER, Mirella deRose draws on her experience leading FINRA enforcement in describing what she sees as the most important elements of the regulator’s recently...

The Department of Labor's Employee Benefit Security Administration (EBSA) also alleged in a lawsuit that fiduciaries to two retirement plans failed to administer the plans, leaving participants unable...

No reason was given for why the plaintiff decided on the voluntary dismissal.

Chief executive officers of Church Alliance member organizations submitted letters to key Congressional leaders relating to an issue of an informal position taken by the Treasury Department and...

The decision goes into significant detail, but in essence plaintiffs’ approach failed because they relied on bare cost comparisons and statements of industry averages, failing to show any...

The Society of Actuaries points out that the financial impact of implementing the new public pension mortality tables will vary based on each individual job category, as well...

Federal employees and contractors would be able to take retirement account distributions without penalty and be able to repay the distributions to their accounts.

The question was included in its petition for writ of certiorari asking the Supreme Court to settle a circuit split about burden of proof in ERISA cases.

In addition to a gross monetary payment of $10.65 million, the university agreed to other non-monetary actions.

Attorneys with Mayer Brown say there has been little consensus or direction from the federal courts (at least so far) as to what exactly constitutes prudent administration of...

PLANSPONSOR Magazine has published a 2019 ERISA Plan Compliance Calendar that can help your clients track important due dates and requirements for their qualified plans.

The court officially ended the case by approving a dismissal motion jointly filed by the parties.

Representative Richard Neal has introduced a bill with bipartisan backers that would take several steps towards solving the union multiemployer pension funding crisis.

In a colorfully worded opinion, the district court judge chides plaintiffs for failing to acknowledge basic facts about the way annuities work and their well-established role in 403(b)...