Compliance

The Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) launched an initiative to assess the cybersecurity of registered broker/dealers and investment advisers.

When performing annual retirement plan financial audits, plan sponsors and their auditors should look for potential “red flags” for regulators.

The Social Security Administration (SSA) announced that it will discontinue its letter-forwarding program, through which it attempts to help third-parties communicate serious financial or familial matters to “missing”...

What is the trustee of a retirement plan that offers employer stock as an investment option supposed to do with inside information that the stock price may be...

Sponsors of both defined benefit (DB) and defined contribution (DC) retirement plans will need to review plan documents to ensure the definition of “spouse” conforms to current federal...

Without admitting any wrongdoing, ING Life Insurance and Annuity Co. has agreed to settle a lawsuit claiming it violated prohibited transaction rules of the Employee Retirement Income Security...

A coalition of advocacy groups representing U.S. retirement plan service providers filed a detailed comment letter with the federal Office of Management and Budget (OMB) leveling technical challenges...

Investment adviser Donald Gene DeWaay Jr., based in Johnston, Iowa, has paid $341,487 to 68 pension plans covered by the Employee Retirement Income Security Act (ERISA).

The Coalition to Preserve Retirement sent an open letter to Representative David Camp, R-Michigan, chairman of the House Ways and Means Committee, pushing back on certain tax reforms...

The Pension Benefit Guaranty Corporation (PBGC) recently proposed rules about the treatment of rollovers from defined contribution (DC) plans to defined benefit plans (DB).

The U.S. Equal Employment Opportunity Commission (EEOC) says a Phoenix, Arizona, school district unlawfully used an early retirement incentive plan.

Passage of 403(b) regulations in 2007 led 403(b) plans to adopt similar requirements and administration practices to those of 401(k)s.

It’s a core mission for financial advisers: work tirelessly to reduce their plan sponsors’ fiduciary liability. But what about their own liability?

This summer, the Department of Labor (DOL) will be holding free seminars about fiduciary responsibilities in Hartford, Connecticut, and Oklahoma City, Oklahoma.

Giuliana Rivers joined benefits consulting firm Mercer within its defined contribution (DC) advisory practice.

The Internal Revenue Service (IRS) has released guidance on the treatment of marriages of same-gender couples with regard to retirement plans.

A paper answering commonly asked questions about implementing automatic features for retirement plans is now available for plan sponsors.

The Securities and Exchange Commission (SEC) is again seeking public comment on rule amendments proposed in 2010 that would change the way target-date funds (TDFs) are marketed.

The Internal Revenue Service (IRS) will hold a phone forum next month about retirement plan terminations.

The U.S. Department of Labor (DOL) has filed a lawsuit to recover losses to the Cargill Heating & Air Conditioning Co. Inc. Savings Plan in La Crosse, Wisconsin.