Compliance

“While we as advisers understand a lot of pieces of the puzzle, the plan sponsor doesn’t,” Keith Gredys, CEO and president of Kidder Benefits Consultants Inc., told attendees...

Ever since the Enron scandal of 2001, Employee Retirement Income Security Act (ERISA) attorneys have become “exploitive” with regards to bringing...

Fee disclosure is not something to fear but “an opportunity to differentiate yourself as a retirement-focused practice,” said Vincent Morris, president of Bukaty Companies Retirement Plan Services, at...

Assistant Secretary of Labor Phyllis Borzi, with the Department of Labor’s (DOL’s) Employee Benefit Security Administration (EBSA), said it has been engaged in a very vigorous focus on...

The Department of Labor (DOL) wants to know whether its proposal to show lifetime income projections on retirement plan participant statements is a solution to having inadequate income...

The type of adviser you are—fiduciary or nonfiduciary—dictates your business model, said Brad Campbell, counsel in Drinker Biddle & Reath’s Washington, D.C., office and speaker at the PLANADVISER...

Never has the industry seen such potential for change, Marcia Wagner, president of The Wagner Law Group, told attendees at the PLANADVISER National Conference in Orlando, Florida.

ERIC recently filed a brief with a federal appellate court in a case about a plan changing over from defined benefit to cash balance status.

The Department of Labor (DOL) will host a two-part webcast this month to discuss the Patient Protection and Affordable Care Act (PPACA) with employers.

The Department of Labor (DOL) has obtained a consent judgment to recover plan assets.

Retirement plan regulations have been pushed aside for a bit following the Supreme Court decision about the Defense of Marriage Act (DOMA).

The risk alert addresses business continuity and disaster-recovery planning for investment advisers. 

The Department of Labor’s (DOL) Employee Benefit Security Administration (EBSA) has released Form 5500 data from 2011.

A federal district court has given the green light to certain claims that fiduciaries to Weyerhaeuser Company’s pension plans breached their duties by overinvesting the plans’ assets in...

In a phone forum, representatives from the Internal Revenue Service (IRS) discussed how plan sponsors can prepare for and handle an audit.

Larry Dearman, Sr., and his friend Marya Gray, were charged by the Securities and Exchange Commission (SEC) with offering fraudulent securities, raising at least $4.7 million.

Russell Investments sent a comment letter to the Department of Labor (DOL), suggesting that the DOL test some of the proposals with participants.

The U.S. Department of Labor (DOL) has obtained a default judgment to restore employee contributions to the retirement plan of a Pennsylvania nonprofit organization.

The Securities and Exchange Commission (SEC) charged an Indiana resident and his company with defrauding investors in a Ponzi scheme that targeted retirement savings.

The American Society of Pension Professionals & Actuaries (ASPPA) sent a comment letter to the Internal Revenue Service (IRS) about the definitions of vesting and severance for pre-approved...