Compliance

Society of Actuaries says the update will ensure pension plan actuaries have the most up-to-date information available.

The Employee Plans unit will be issuing more compliance checks and reviewing submissions for pre-approved plan documents.

The bank, which pled guilty to criminal charges last year, applied for an exemption that would enable it to keep its status as a qualified professional asset manager.

April 30, 2016, is the deadline for employers using pre-approved retirement plan documents to sign an updated version of their 401(k), profit-sharing or other defined contribution retirement plans.

Under the proposed DOL fiduciary definition, the types of information given to participants are restricted or permitted and the adviser’s compensation model will also be affected. Yet advisers...

The Republican-controlled House Financial Services Committee approved H.R. 1090, the “Retail Investor Protection Act,” for potential consideration by the floor.

The organization claims most large employers do not use predetermined or “off the shelf” retirement plan documents.

To expand private-sector coverage, a new report from the GAO calls for Congress to amend the ERISA pre-emption provision.

Executives provide practical and legal tips for adding wealth management to your practice.

Many SEC actions will impact retirement plan advisers.

Nearly all American investors agree financial advisers should be required to proactively disclose conflicts of interest, actual or potential, to would-be clients. 

The amount of cyber risk exposure in the financial services industry can be downright frightening to think about, but details of a recent settlement reached between the SEC...

A survey of institutional asset managers highlights persistent uncertainty and lack of preparedness around pending SEC money market reforms.

A court found a pension plan’s SPD materially conflicted with the plan document, so a participant who expected to receive certain benefits can seek relief.

An adviser’s broad perspective and timely nudges can help the plan sponsor steer clearly through major changes.

DOL says the proposed rule has been sent to the Office of Management and Budget.

The IRS published procedures for plan sponsors to request a waiver of the electronic filing requirements for Form 8955-SSA and Form 5500-EZ.

PBGC anticipates about 94% of plans and sponsors will be exempt from many reporting requirements.

Hearings before two House Financial Services subcommittees add more commentary to the debate about the DOL's proposed fiduciary rule.

The company will pay $2.5 million.