Compliance

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.

The Republican party is still attempting to shoot down the fiduciary rule—almost certainly in vain.

Senator Johnny Isakson has introduced legislation designed to foil the fiduciary rule and amend the Employee Retirement Income Security Act.

The IRS has been accused of mismanagement of its VCP program.

The Pension Benefit Guaranty Corporation announced an agreement that restores two pension plans to The Renco Group Inc., a private investment holding company based in New York City.

The late Supreme Court Justice Antonin Scalia had a direct (but not necessarily pivotal) role in shaping many of the SCOTUS decisions tracked in recent years by the...

Instructions from the IRS now tell plan sponsors to skip them.

The Employee Benefits Security Administration is giving employers and service providers an opportunity to comment on how it collects and processes information, especially as it pertains to a...

Your DB plan sponsor clients should start reviewing their payment practices now, attorneys tell PLANADVISER.

 

The Department of Labor’s new fiduciary rule will be very hard to reverse once in place—even if Republicans take the White House.

Following a sit-down with one SEC commissioner, CEFEX leadership predicts the regulator will propose new requirements for third-party advisory practice reviews before the close of 2016. 

A federal court has found that RJR proved a prudent fiduciary would have removed Nabisco stock from its 401(k) plan.

Broker/dealers urged in FINRA letter to define and strengthen their firms’ ethical business practices.