Compliance

The complaint describes in detail guaranteed investment contracts offered by the Principal to retirement plans, which plaintiffs suggest permitted conflicts of interest and prohibited transaction.

A new bill introduced by Senate minority Democrats, seeking to protect ERISA exemptions for state- and city-run retirement plans for the private sector, would likely be made redundant...

While several claims were dismissed, several were allowed to move forward.

A federal judge agreed with the 403(b) plan participants on many points, but agreed with Emory University that offering a wide range of investment options does not hurt...

The settlement agreement delivers millions of dollars in compensation to TIAA employees, as well as non-monetary settlement provisions, while insulating the firm from further claims along these lines. 

The seminar will be held in Springfield, Illinois, on June 21.

The lawsuit challenges the status of the pension plans of Franciscan Missionaries of Our Lady Health System.

One retirement industry CEO argues the recent effort by Congress to remove the ERISA safe harbor protections for state- and city-run retirement plans offered to private-sector workers won’t...

In an SEC filing, 3M said it was notified by the DOL in April 2015 that the agency was investigating its pension plan for violations of ERISA.

Losing tax-exempt status can affect the ability to offer 403(b) plans.

The amounts individuals and families can contribute to HSAs has increased.

Wagner Law Group says its volume submitter 403(b) plan has flexible design options to meet the needs of most 403(b) plan sponsors.

Passage of the CHOICE Act by the House Financial Services Committee could signal a further blow to conflict of interest regulations adopted by the Obama administration. 

As a new leader takes the helm at the SEC, advisers wonder whether the regulator’s recent focus on retirement industry conflicts of interest will be relaxed. 

The Senate has passed legislation mirroring House-approved measures that will eliminate the Obama-era DOL rules regarding exempting state- and municipality-run retirement plans from ERISA.

Of five claims that Starwood Hotels breached its fiduciary duties to its 401(k) plan, a district court judge has moved one forward.

The FSR suggests the Trump administration should support policies that will promote retirement savings and enable financial services providers to better meet the long-term needs of Americans in...

Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed. 

There is still a chance of proposals from the Trump administration and for discussions in Congress to come to fruition.

The latest decision in RJR vs. Tatum comes out of the 4th U.S. Circuit Court of Appeals, which has previously made multiple rulings on the long-running and procedurally complicated...