Compliance

Benchmarking a retirement plan includes analyses of providers, investments and the plan itself, attendees at the 2012 PLANADVISER National Conference learned.

It’s possible to broaden your practice successfully without running afoul of the rules, Roberta Ufford, principal at Groom Law Group, told conference attendees.

Plan sponsors have a fiduciary obligation to avoid prohibited transactions or overpaying for fees – which is where 408(b)(2) fee disclosure regulation...

Multiple-employer plans (MEPs) do not absolve plan sponsors from fiduciary responsibility, despite what marketing campaigns may advertise.

Brokerage windows should not be used to sidestep fee disclosure, a source from the Department of Labor (DOL) stressed. 

The government tries to lend its hand to the retirement readiness goal, but other agendas may get in the way.

Do you really know how your broker/dealer makes money? If not, it’s time to learn before a Department of Labor (DOL) investigator knocks on your door.

The 6th U.S. Circuit Court of Appeals has revived a lawsuit against Fifth Third Bank concerning company stock holdings in its employee retirement plan.

“The main thing is… don’t get excited.”

The Financial Industry Regulatory Authority (FINRA) announced that Vice Chairman Stephen Luparello is leaving to join the WilmerHale law firm in Washington, D.C.

A federal appellate court found a multiemployer pension plan’s determination of a participating employer’s withdrawal liability was excessive.

The Internal Revenue Service (IRS) announced its plan phone forum about fixing 403(b) plan mistakes is full.

A.B.D. Tank & Pump Co. in Elmhurst, Illinois, has been ordered to restore $2,767,051 to the company’s retirement plan.

In a webinar sponsored by Sammons Retirement Solutions, Andrew Friedman of The Washington Update discussed the Bush tax cuts.

Janus Capital Group has come up with 10 ways advisers can help clients mitigate higher ordinary income tax and...

 A federal judge has approved calculations for an award to former participants in Alliant Energy Corp.’s cash balance plan. 

Next month, Transamerica Retirement Plan Services will host a legislative outlook webinar for third-party administrators (TPAs) and advisers.

Form PF is a challenge, but it will provide registered investment advisers with detailed—and marketable—portfolio insight, Thomson Reuters said...

Mary Schapiro, chairman of the Securities and Exchange Commission (SEC), said Wednesday the commission called off a vote to reform the structure of money market funds.

The Internal Revenue Service (IRS) announced a retirement plans phone forum, “EPCRS: Correction of 401(k) Plan Mistakes,” for September 7.