Compliance

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...

The Pension Benefit Guaranty Corporation (PBGC) announced that it will be paying retirement benefits for a vehicle transportation business based in Atlanta, Georgia.

The U.S. Department of Labor (DOL) has alleged that DTK Computer Inc. failed to take control of its retirement plan’s assets.

The U.S. Department of Labor (DOL) recently filed a lawsuit that seeks restoration of missing employee contributions in a New Jersey-based plan.

The U.S. Department of Labor (DOL) has filed a lawsuit against a California bank, alleging that nearly $1.4 million in employee stock ownership assets were mismanaged.

A majority of advisers surveyed (79%) said the strictest fiduciary standard should apply to rollovers of retirement accounts.