Compliance

The Securities and Exchange Commission (SEC) has charged the co-founder of institutional money manager AXA Rosenberg with securities fraud.

How can advisers add value to quarterly meetings with retirement plan committees?

Attendees at the PLANADVISER National Conference benefited from the presence of Michael L. Davis, Deputy Assistant Secretary, U.S. Department of Labor, discussing the status of retirement plan...

The Internal Revenue Service (IRS) has issued Revenue Procedure 2011-44, which modifies the procedures for church plans that are filing a request for a determination letter. 

What are the definitions of plan and provider success and how do you measure it them?

The U.S. Department of Labor has released the Form 5500 Version Selection Tool to help plan sponsors determine which version of the form to use and which schedule...

Industry professionals, associations, and lawmakers are applauding the Labor Department’s decision to reevaluate its proposed changes to the definition of a fiduciary.

The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) will re-propose its rule on the definition of a fiduciary.

A pair of US Senators have introduced legislation they claim will “dramatically increase retirement savings.” 

You can add another voice to the chorus of those calling for the Labor Department to backoff of its proposed fiduciary definition expansion – Congressman...

Star bond investor Jeffrey Gundlach was awarded $66.7 million by a jury over his separation from money management firm Trust Company of the West (TCW), reports Reuters.

UBS trader Kweku Adoboli appeared in a London court on Friday to face charges of fraud and false accounting, according to the Wall Street Journal. 

FINRA and industry groups are weighing in this week on Rep. Bachus’ (R-Alabama) draft proposal for a new self-regulatory organization (SRO) to oversee financial advisers.  

Witnesses before the Senate Finance Committee offered arguments against changing tax advantages for workers’ retirement plan savings.

The U.S. Department of Labor held a Webcast earlier this week to summarize its final fee disclosure regulations and answer questions on the rules.

U.S. Senator Bernie Sanders (D-Vermont) has introduced legislation designed to keep the social security program sound for another 75 years.

The Fifth Circuit U.S. Court of Appeals reversed a ruling that allowed John Young, a former trader at Merrill Lynch, to be awarded benefits from the firm’s “Long-Term...

The Department of Labor’s Employee Benefits Security Administration (EBSA) has issued an interim electronic disclosure policy for its participant fee disclosure regulations. 

Paying a lump-sum distribution from a cash balance plan that was half of what a participant would have received if the plan had not been terminated was...

The 3rd U.S. Circuit Court of Appeals has upheld a district court ruling dismissing charges that Unisys Corporation and Fidelity Management Trust Company caused participants in Unisys’ retirement...