Compliance

Edward Jones is being accused by another set of plaintiffs of favoring the investments of its “preferred partners” in its 401(k) plan, enriching the firm at the expense...

While it is hard to predict what is coming, there is no shortage of retirement policy proposals for the next administration to consider.

 

The IRS document can be used by advisers in helping them educate plan sponsors about automatic enrollment 401(k) plans as well as to help plan sponsors set up...

In addition to imposing penalties for failure to provide requested plan documents to a 401(k) participant, a federal district court found the plan filed a simplified Form 5500...

The latest ERISA lawsuit to be filed targets Xerox and Financial Engines for advice arrangements negotiated between the firms and several Ford Motor Company retirement plans. 

One early commentator tells PLANADVISER he expects the new DOL fiduciary rule will still be implemented, yet there is undoubtedly a new atmosphere of uncertainty with the presidential...

The board says stakeholders have stated that the current presentation requirement has less value and requires users to incur greater costs in analyzing financial statements.

The agency is considering amendments to hybrid plan rules to address implicit interest pension equity plans.

A U.S. district court judge has ruled in favor of the DOL fiduciary rule’s pending implementation, defeating fixed-indexed annuity providers’ effort to stall the groundbreaking regulation in court.

The agency announced the availability of “Issue Snapshots” about tax-related issues for retirement plan practitioners.

The agency has issued a List of Required Modifications (LRMs) and Information Package for use with prototype SIMPLE IRAs.

The fiduciaries did not follow terms of the plan document when paying out participants upon plan termination, a federal court found.

The “Changes to Note” section of the 2016 instructions highlight important modifications to the Form 5500 and Form 5500-SF and their schedules and instructions.

In addition to relief for hardships and loans provided by the IRS, the DOL is relaxing rules about contribution and loan repayment submissions and blackout notices.

Broadridge looks at the new fiduciary rule’s “far-reaching implications for the retirement plan participant experience” and how to avoid pitfalls.

“This policy is in keeping with NTSA’s long-standing support for effective and clear disclosure of fees, compensation and alternatives within 403(b) plans,” says NTSA Executive Director Chris DeGrassi.

Acknowledging that “smart regulation is only as effective as its implementation,” the DOL has issued extensive guidance for advisers and providers seeking to comply with the new conflict...

The deferral limit for defined contribution plan participants remains unchanged at $18,000.

The health system agreed to pay more than $350 million to settle a lawsuit challenging its pension plan's church plan status under ERISA.

Wells Fargo faces a third ERISA stock drop lawsuit in the U. S. District Court for the District of Minnesota.