Compliance

The Elder Justice Reauthorization and Modernization Act of 2021 dedicates funding to programs to address vulnerable seniors’ needs, and its advocates say the financial services industry has a...

An amicus brief filed in a case involving Universal Health Services says a district court erred when it found the...

The IRS has addressed Form 5500 filing for plan sponsors that take advantage of the extended deadline for plan adoption provided by the SECURE Act.

The language of the regulation has not yet emerged, but the title published by the Department of Labor suggests it will address both ESG and proxy voting matters.

Industry experts are watching for the imminent filing of new Department of Labor regulations pertaining to the use of environmental,...

The proposed class of plaintiffs alleges Citgo is using mortality assumptions that are at least 50 years out of date...

Among other things, it explains the manner and timing of making elections under the American Rescus Plan Act (ARPA), as well as the flexibility to redesignate contributions between...

A judge left until later the issue of whether passively managed funds and actively managed funds are proper comparators.

A bipartisan group of representatives is seeking to require the Securities and Exchange Commission to revise its rules regarding the development and offering of certain annuity products.

The district court ruling in the case, now backed by an appeals court, stands out for having been filed alongside...

Those participating in a Senate Finance Committee hearing discussed ways to boost employees’ retirement savings, help with financial wellness and...

The Encouraging Americans to Save Act would expand the saver’s tax credit and add a COVID-19 recovery bonus for middle- to low-income workers.

All firms involved have agreed to settle the allegations that they missed regulatory deadlines for the customer relationship summaries.

The agency clears up timing questions in a FAQs document and says it realizes the concerns about timing if its...

The suit says the solution directed participant contributions into high-cost investments.

Democratic lawmakers in the House and Senate say the bill is needed to help address longstanding retirement insecurity issues—and to address some of the negative impacts of the...

Congressional leaders and asset management executives say they are committing to furthering legislation to expand coverage and boost savings

The appeals court has technically affirmed, vacated and reversed parts of a district court ruling that granted summary judgement against...

The firm is accused of failing to take sufficient steps to monitor customer accounts for further payments to a former adviser—himself accused of substantial wrongdoing—whose registration last lapsed...

The lawsuit suggests that MetLife had an imprudent and disloyal preference for its index fund products, in part because of...