Compliance

While the proposed private fund transparency rules don’t address the work of financial advisers as directly as some other outstanding...

Yet another employer has been sued by plaintiffs represented by the law firm Capozzi Adler.

Designing a retirement plan that meets the needs of the business—and today’s employees—requires a fresh outlook.

The judge’s opinion sides firmly against the arguments made by the plaintiffs in the case, who are among the many...

The committee’s unanimous passage of the EARN Act represents another step forward for an ambitious package of retirement planning reforms...

One expert who works on the fiduciary insurance side of the retirement plan industry calls the appellate ruling ‘the best...

The Consumer Federation of America and the Investment Adviser Association have different goals and objectives, but both organizations voice support...

The SEC says Western International Securities failed to act in the best interest of customers when the firm allegedly sold...

Backers of the new bill say the legislation would cut red tape and help Americans who change jobs frequently keep...

While the prevalence of settlements in ERISA cases means fewer legal conclusions have been drawn by the courts than one...

Labor Secretary Marty Walsh testified to Congress that DOL is open to a rule that would regulate cryptocurrency in retirement...

In addition to a monetary settlement, three Charles Schwab investment adviser subsidiaries have agreed to retain an independent consultant to...

Sources say the Senate HELP Committee’s measure, called the RISE & SHINE Act, is expected to be combined with a...

Sources say the ingredients for passing a new round of federal retirement planning reforms are in place, but hurdles remain,...

The IRS has begun sending pre-audit letters to plan sponsors whose retirement plans have been selected for upcoming audits, giving...

Retirement benefit plans have deep pockets—filled with both assets and sensitive information—so it only makes sense that they are a...

Assuming there is no malfeasance or criminal activity going on, the process of a DOL or IRS audit does not have to be unpleasant, even if minor issues...

The vote will be rescheduled for when Vice President Kamala Harris can break the tie.

Lawmakers will convene an executive session to mark up the RISE & SHINE Act on June 14, according to a spokesman from the Senate...