Tag: Compliance services

The tools can help retirement plan sponsor clients manage their fiduciary responsibilities.

Following a sit-down with one SEC commissioner, CEFEX leadership predicts the regulator will propose new requirements for third-party advisory practice reviews before the close of 2016. 

Employee plans division leadership at the Internal Revenue Service candidly admits worsening budget constraints are making its job more difficult.

A white paper outlines some of the critical cybersecurity points to prepare for the SEC’s Risk Alert.

This week brings the retirement of FINRA’s chief executive, a merger of compliance consulting firms and more.

The IRS published procedures for plan sponsors to request a waiver of the electronic filing requirements for Form 8955-SSA and Form 5500-EZ.

With more advisers taking on a fiduciary role, they should know when to speak up, or walk away, before a retirement plan sponsor gets them in trouble.

Compliant-ready features have been implemented into External IT’s office suite solution that integrates with Microsoft Office 365.

NFP Advisor Services says Mike Pedlow will be the firm’s compliance chief. 

Retirement plan participants seldom engage in too-frequent or inappropriately coordinated trading.

An annual study from Judy Diamond Associates, ALM’s retirement plan intelligence provider, shows 54,493 401(k) plans failed their 2013 Internal Revenue Service (IRS) nondiscrimination tests.

The Securities and Exchange Commission (SEC) released its schedule of Compliance Outreach Program seminars, given regionally in six cities this year.

A quarter of independent financial advisers are currently honing and redeveloping their practices—including many established firms crafting approaches to new markets.

To ensure regulations compliance and proper treatment of broker/dealer income, Global Retirement Partners (GRP) will offer access to accommodation broker/dealer services.

FRA PlanTools says its compliance solutions have been “re-engineered from the ground up” to better serve Employee Retirement Income Security Act (ERISA) fiduciaries.

Do your retirement plan sponsor clients know it is up to them to track loans and hardship withdrawals?