Compliance

At the close of the 2014 PLANSPONSOR National conference five items rose to the top from the content covered during the conference that should be on your fiduciary...

A federal appellate court ruled Morgan Stanley & Co. and its CEO were not acting in a fiduciary capacity when deciding to make company contributions to two retirement...

The Department of Labor (DOL) reached a $5.25 million settlement with GreatBanc Trust Co., resolving allegations the Lisle, Illinois-based company violated the Employee Retirement Income Security Act (ERISA).

"I think the retirement crisis is beyond a crisis,” says U.S. Representative Reid Ribble (R-Wisconsin).

Target-date funds (TDFs) are again put in the Department of Labor (DOL) spotlight for comments. Widely held in retirement accounts, TDFs may not be fully understood by investors. 

A federal district court has ordered an Oregon realtor to repay more than $400,000 to the participants of its profit-sharing plan.

A plan sponsor’s lawsuit over revenue sharing payments has moved forward as a court found the sponsor's plan provider became a functional fiduciary by setting fees.

Plaintiffs' lawyer and 401(k) fee litigation specialist Jerry Schlichter doesn’t seem to mind his position among the most polarizing figures in the employer-sponsored retirement plan industry.

The Alaska Supreme Court ruled unmarried domestic partners have a right to some retirement benefits via a qualified domestic relations order (QDRO).

Witnesses at a Senate hearing discussed Social Security reforms that could boost potential retirement income for workers.

Curtis L. DeYoung squandered more than $22 million of investor funds on high-risk investments, the Securities and Exchange Commission (SEC) said in a statement.

Caveats included in pension benefit statements provided by Ford Motor Company saved the company from liability in a recent court case.

The majority of final Form 5500s reviewed during a recent Internal Revenue Service (IRS) compliance assessment contained errors, many related to undistributed assets.

The Internal Revenue Service (IRS) announced safe harbor retirement plans can be amended mid-year for changes relating to language about same-gender marriages.

The defendants in one of the church plan court cases have had their status confirmed by a federal court.

The expansion of the fiduciary definition proposed by the Department of Labor (DOL) could potentially impede the ability of small businesses to offer employees retirement plans, says a...

The Internal Revenue Service (IRS) is providing penalty relief for certain late filers of Form 5500.

In an open letter to the Department of Labor (DOL), the RAC contends the regulator’s proposed methodology for assessing the impact of 408(b)(2) fee regulations is flawed.

Timothy Davidson, a money manager in Florida, said in a potential class action suit that BlackRock Advisors charged disproportionately high investment advisory fees.

Fee policy statements are in the early stages, but they can help plan sponsors manage fees and help an adviser show he’s ahead of the curve.