Cybersecurity Insurance Considerations
Expert Steve Taylor gives his views on cybersecurity insurance, as breaches proliferate in financial services.
Compliance
Chevron Explained
ERISA expert David Kaleda unpacks the Supreme Court decision that gives the courts more weight in areas that include employee...
Court Grants Genworth Class Certification Appeal
Plaintiffs can appeal class action status granted earlier this month to participants who were invested in BlackRock Inc. target date...
2025’s Tax Sunset and DC Plans
The first article in this quarter’s PLANADVISER In-Depth series, which considers the state of retirement in the U.S., looks at...
SEC Committee to Host Investment Advice Discussion
The regulator’s advisory body will hold a public hearing September 19 to address fiduciary advice in the wake of the...
Infosys Breach From 2023 Exposed Personal Data of 6 Million People
T. Rowe Price and New York Life were cited in a filing with the Maine Attorney General on previously reported...
SEC Fines 9 Advisories for Marketing Rule Violations
The regulator issued penalties totaling $1.24 million to settle charges of ‘untrue or unsubstantiated claims.’
BAE Beats 401(k) Plan Forfeiture Suit
A federal judge in Virginia dismissed a proposed class action, marking one win for defendants amid a slew of recent...
DOL Issues Updated Cybersecurity Guidance
A new compliance release issued by EBSA clarifies that cybersecurity guidance applies to all employee retirement benefit plans and health...
Federal Regulators Seek Comments on Saver’s Match Contributions
Responses are requested by November 4 for the program scheduled to launch in 2027.
Nuts & Bolts: NAGDCA Explains How to Offer a Self-Directed Brokerage Window
The organization’s latest guidelines lay out fiduciary best practices for offering the brokerage window to retirement plan participants.
Salesforce Settles 401(k) Suits for $1.35M
Combined lawsuits filed in 2020 and then 2024 alleged excessive fees for a $5 billion retirement plan.
Raymond James Fined Over Mutual Fund Monitoring
FINRA fined two of the firm’s subsidiaries a total of $1.8 million for allegations of failing to properly review mutual...
Keys to Guarding Retirement Plan Data Against Human Error
Mistakes managing employer-sponsored plan data often expose vulnerabilities that can be exploited by bad actors.
DOL Recommends Reopening Retirees’ Lawsuit Against IBM
The Department of Labor has backed an appeal by IBM retirees to reopen a lawsuit alleging the company used outdated...
SPARK Meeting Addresses Roth Catch-Up Preparedness
Committee lays out recordkeeper and payroll provider workflow for the pending SECURE 2.0 Roth catch-up mandates.
Mutual Fund Managers ‘Dodge Bullet’ on Swing Pricing
The SEC decided not to move ahead with what the mutual fund industry had argued would be a costly proposal to manage market volatility.
Government Watchdog Finds IRA Fiduciary Oversight ‘Lacking’
The GAO found numerous conflicts of interest and recommended the IRS work with the DOL to audit IRA fiduciaries.
‘Emerging’ Health Plan Litigation Signals Need for Plan Adviser Diligence
A Wells Fargo health plan lawsuit is a reminder for plan advisers and sponsors to carefully consider and document their...
Social Security Administration Simplifies Supplemental Claims
The Social Security administration announced the results of a multi-year project to simplify processes for those with disabilities and the...