Compliance November 10th, 2023 Navigating ESG: Forward Thinking Panelists discuss how new ESG issues will inform investors’ focus and opportunities going forward.
Compliance November 10th, 2023 Advisers Selling Product, Not Process, in Fiduciary Rule Crosshairs Experts discuss the ripple effect of the Department of Labor’s proposed fiduciary rule amendments.
Compliance November 9th, 2023 PBGC Releases 2024 Mortality Tables The data inform potential withdrawal liabilities and benefit transfer amounts under ERISA.
Compliance November 9th, 2023 Assessing Regulations and Best Practices for ESG Investing ESG experts discuss the current regulatory and business landscapes regarding ESG reporting and investing.
Compliance November 8th, 2023 Trade Groups Call for Longer Comment Period for Fiduciary Rule Proposals The proposals would apply fiduciary status to one-time investment recommendations such as rollovers and annuity sales.
Compliance November 7th, 2023 Hamas Financing Brings Regulator’s Attention to Cryptocurrency Representatives of the Treasury Department and the CFTC said at a SIFMA conference that crypto is a general compliance issue,...
Compliance November 6th, 2023 CFA Releases New Definitions for Sustainable Investing Terminology intended to create system to communicate responsible investment practices accurately and consistently, according to CFA.
Compliance November 6th, 2023 Small Businesses See Many Obstacles to Plan Creation, Lack Awareness of SECURE 2.0 A survey from Capital Group found that businesses with fewer than 50 employees often lacked awareness of key provisions in...
Compliance November 2nd, 2023 House Republicans Subpoena ESG Advocates The Judiciary Committee has called the CEO of As You Sow to testify in December.
Compliance November 2nd, 2023 Maximum Benefit and Contribution Limits Table 2024 Maximum Benefit/Contribution Limits for 2019 through 2024, with a downloadable PDF of limits from 2014 to 2024.
Compliance November 1st, 2023 Safeguarding Proposal Remains Unpopular in Investment Industry The same criticisms of the proposal linger, but the SEC is continuing to push ahead.
Compliance November 1st, 2023 IRS Announces 2024 Contribution Limits The new limits come with guidance on all the cost-of-living adjustments affecting dollar limitations for pension plans and other retirement-related...
Compliance October 31st, 2023 DOL Publishes New Adviser Fiduciary Rule for Public Comment The proposal would make one-time advice for rollovers subject to ERISA.
Compliance October 27th, 2023 State AGs Appeal Dismissal of Suit Challenging DOL’s ESG Rule The Department of Labor’s defense continues on two tracks, one in Wisconsin, and 2another in the 5th Circuit.
Compliance October 26th, 2023 New Speaker Mike Johnson Remains an Enigma to Retirement Industry Having served on unrelated committees, Johnson’s legislative record on retirement issues is rather thin.
Compliance October 25th, 2023 ‘You Know What the Rules Are,’ Gensler Tells Crypto Industry The oft-critical SEC chair repeated that the cryptocurrency industry is unusually non-compliant with securities laws.
Compliance October 25th, 2023 SEC Fines BlackRock Advisors $2.5M for Disclosure Violation The SEC charged the firm with inaccurately describing a business in which it held $75 million in debt.
Compliance October 24th, 2023 New Micro-Plans Will Receive Expanded Tax Credit if Bill Passes Startup retirement plan sponsors with less than 10 employees would receive a minimum of $2,500.
Compliance October 23rd, 2023 Best Practices To Vet a Vendor’s Cybersecurity Practices Experts in Cybersecurity provide tips on how to assess partners' defenses in a recent PLANADVISER Cybersecurity livestream.
Compliance October 20th, 2023 DOL Fiduciary Proposal Expected by End of October The proposal is expected to redefine fiduciary in the context of retirement investment advice.