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SEC inspection staffers have identified growing security risks associated with advisers’ storage of electronic customer recorders in cloud-based platforms—and they will be watching for non-compliance in this area.

During a House committee hearing in early May, Secretary of Labor Alexander Acosta said the Department of Labor (DOL) is working with the Securities and Exchange Commission (SEC)...

A research report argues that even defined contribution (DC) plan participants in plans with a default investment do not have the financial acumen to know whether the default...

However, 403(b) plans are in a remedial amendment period, and the IRS has offered much help for them to be in compliance with regulations.

Besides a lengthy Finance Committee hearing discussing the popular RESA legislation, the day on Capitol Hill also brought news of the introduction of the new Retirement Security and...

City National argued that if a District Court had considered certain offsets to the damages award, it would have been clear that the bank never received more compensation...

The IRS Self Correction Program (SCP) has been expanded to include certain plan document failures and certain loan failures and a way to self-correct via plan amendments.

It is important for plan fiduciaries to know what to consider for placing a fund on watch or replacing it.

The ERISA Advisory Council sent a report to Secretary of Labor R. Alexander Acosta focusing on recommendations for promoting lifetime income (LTI) within defined contribution (DC) plans through...

In conversation with PLANADVISER, Principal’s retirement and income solutions leader shares advice for how to talk about annuities with skeptical consumers.

The retirement planning challenges facing workers today are by no means new or novel, nor are the many different types of solutions being debated by academics and policymakers.

“More robust programs—which go beyond just education—tend to cost more for plan sponsors. But, they include features such as on-site support, account aggregation, budget tracking and goal setting,”...

Using retirement readiness measures, advisers have access to an objective guide to help evaluate plan status, and allowing advisers to compare metrics for plans of similar size and...

Since there are no prescribed correction methods to address Internal Revenue Code Section 409(p) violations, prevention methods are important considerations for both employee stock ownership plan design and...

Steidle Pension Solutions, LLC (SPS) announced that plan sponsors using SPS administration and actuarial services will pay only $1,200 for full-service administration, and its plan document restatement fee...

Eighty-nine percent of small employers surveyed said they have a high level of trust in retirement plan providers, compared to 53% for state governments.

The list identifies matters that may involve either mandatory or discretionary plan amendments depending on the particular plan, and may reference other significant guidance that affects daily plan...

A section-by-section overview of the Retirement Enhancement and Savings Act of 2019, which was just introduced in the U.S. Senate.

While the UK's requirement to automatically enroll all workers into a retirement plan showed a potential for a big boost in participation if the U.S. were to adopt...