Compliance

Supporters say the California Secure Choice Retirement Savings Program will provide a voluntary, low-risk, auto-enrollment retirement savings plan for many uncovered workers in the state. 

The IRS now and again seeks industry input on what tax guidance to issue next, via its Priority Guidance Plan program. 

The case reached the Supreme Court, and set new standards of pleading for lawsuits against retirement plans that hold on to company stock.

A now-defunct company failed to take the appropriate steps to terminate its 401(k) plan.

The case was sent back through the courts following the U.S. Supreme Court's decision in Fifth Third v. Dudenhoeffer.

The final rules modify waivers and information requirements to better balance the burden of reporting with PBGC’s need for information.

Because an appellate court found claims against Marriott's plan were time-barred, it did not consider the question of whether the plan was a top hat plan.

Among the many provisions and definitions in the forthcoming DOL fiduciary rule will likely be an “education carve-out,” considered to be one of the most high-stakes elements of...

The IRS says if a benefit formula applies solely to a highly compensated employee who is identified by name, it does not apply to a reasonable business classification.

A federal district court has ruled for a second time on litigation arising from a dispute over verbal and written beneficiary designations.

The appellate court maintained that, under ERISA, a church plan must be established by a church, and Advocate Health Care Network's DB plan was not.

A retiree claims too many mailings sent to retirees and beneficiaries is incurring costs that affects what plans and plan participants pay.

The Pension Benefit Guaranty Corporation will pay retirement benefits for more than 21,000 current and future retirees of the Great Atlantic & Pacific Tea Co.

Firms that offer digital investment advice need sound governance and supervision, says the organization.

As former tax counsel for the U.S. Senate Finance Committee, Fidelity Investments’ Doug Fisher has watched major legislation and regulation unfold from both inside and outside government.

Even after a previous compliant filed by the DOL, a fiduciary to the Applied Technology Systems Retirement Plan transferred plan assets to a company account.

Trusted ERISA attorneys Fred Reish and Brad Campbell, of Drinker Biddle and Reath, cut through some of the “mishmash of conflicting rumor and speculation” surrounding the forthcoming final...

FINRA highlights the success of its recent compliance efforts in a new report, while signaling the beginning of a process to modernize and update its membership application process. 

We’ve rounded up some of the reports and opinions—pro and con—about the fiduciary rule as it nears final approval.