Compliance

Revenue-sharing payments are not necessarily a violation of the Employee Retirement Income Security Act (ERISA), but they are if not disclosed, a court ruled.

The Massachusetts Securities Division is looking into how many 401(k) plan sponsors have moved to paying deferral matching contributions annually.

Failed to provide the safe harbor 401(k) plan notice to employees eligible to participate in the plan? There’s a fix for that.

A federal appeals court has found a retirement plan participant need not show “harm” to pursue a remedy of plan reformation for failing to disclose information.

The Securities and Exchange Commission (SEC) says it has launched a previously announced initiative to audit registered investment advisers (RIAs) that have never been examined.

Aside from government and non-electing church plans, is there really such thing as a non-ERISA 403(b), given the rules plan sponsors must follow now?

The Department of Labor (DOL) has received a consent judgment and order allowing it to name a new fiduciary to distribute the assets of a Captiva, Florida, retirement...

Two Department of Labor (DOL) lawsuits have resulted in plan trustees of an Aurora, Illinois, business being ordered to restore over $4 million in employee contributions and other...

The Internal Revenue Service (IRS) will host a phone forum next month about the 2013 Cumulative List.

More defined contribution retirement plans are out of compliance with Department of Labor (DOL) and Internal Revenue Service (IRS) regulations than some might think.

The Pension Benefit Guaranty Corporation (PBGC) will pay retirement benefits for a plastic container manufacturer based in Trevose, Pennsylvania.

The Department of Labor has recovered assets and attained judgments against plan fiduciaries at a Kentucky-based pension plan.

The Department of Labor (DOL) has filed a lawsuit against a Lilburn, Georgia contracting firm, on behalf of the firm’s retirement plan participants, to recover losses resulting from...

How participants deal with their 401(k) assets when they leave a company is under more scrutiny from FINRA, but retirement plan advisers are less likely to be affected...

For the third time in its history, the Pension Benefit Guaranty Corporation (PBGC) is using its authority to partition an insolvent employer’s participants from a multiemployer plan to...

Approval for an auto-enrolled retirement plan at the federal level is near unanimous, but there may still be some bumps to iron out.

Proposed legislation from Senator Tom Harkin (D-Iowa) would expand access to privately run, portable retirement plans for all workers.

Secretary of Labor, Thomas E. Perez, has filed a federal court brief disputing a district court’s dismissal of John Hancock’s liability in an excessive fee case.

The Pension Benefit Guaranty Corporation (PBGC) proposed amendments to its multiemployer regulations to make the provision of information to PBGC officials and plan participants less burdensome.

Financial advisers who propose alternative investments to their clients can expect increased, ongoing scrutiny from the Securities and Exchange Commission (SEC).