Tag: Compliance services
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Trends and Trendsetters
When you embark on your year-end meetings with your retirement plan clients, how do you help them measure their plans’ success?
IRS Shares Tips for Avoiding Form 5500 Scrutiny
The IRS revealed Form 5500 errors it found during various compliance projects, which could cause a plan to be selected for a compliance check.
ERISApedia Provides Answers and Discourse
The launch of ERISApedia.com provides retirement plan sponsors, administrators, attorneys and advisers with easy access to compliance information and important retirement industry materials.
Internal Controls Can Help Prevent Retirement Plan Fraud
The IRS has suggested a list of helpful internal controls for retirement plan sponsors.
IRS Offers Reference Lists for Plan Qualification Requirements
The IRS recommends including reference lists when applying for a retirement plan determination letter.
Nondiscrimination Testing: Good Value Add?
The complexity of testing a plan can be one way to justify higher fees, says an ERISA plan administration business development specialist.
The Importance of Hiring a Skilled Plan Auditor
For plan sponsors with more than 100 participants, one the most important fiduciary duties is to ensure the plan receives a quality and independent annual financial review.
A 2015 Defined Contribution Checklist
Continuing an annual tradition, consulting firm Mercer has compiled a list of the top 10 recommended steps that defined contribution plans should take over the next year.
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2014 PLANADVISER National Conference
Optimizing plan and practice outcomes—best practices for retirement plan advisers
Enforcing Plan Limits for 403(b)s Not So Simple
There are unique rules for 403(b) plans that make enforcing contribution and benefit limits not so straightforward.
Compliance Consult
The New Rules for Money Market Funds
Some institutional funds now have a floating NAV
Planning for an Unexpected Ownership Transition
It’s an important question for advisory firm owners to ask, says Independent Financial Partners CEO William Hamm, Jr.: What happens to my clients if I have to quit...
DALBAR Gives AXIS Platform Seal of Approval
DALBAR Inc., which provides evaluation and accreditation of retirement plan service providers, has rendered a positive opinion on the methodologies used by the AXIS Retirement Analytics Platform.
SBS Offers Checklist for Investment Policy Statements
While the Employee Retirement Income Security Act (ERISA) does not require retirement plan sponsors to have an investment policy statement (IPS) for their plans, it is a highly...
Making Sure the Form 5500 Is Ready to File
Annual filings always bring a swirl of activity, and July 31 is no different. It also brings a cloud of confusion for plan sponsors, according to Form 5500...
Schwab RIA Custody Data Added to Morningstar Office
Schwab Intelligent Technologies reached an agreement with Morningstar, Inc. through which the investment research provider will participate in the Schwab OpenView Gateway technology platform.
Wagner Law Group Adds ERISA Specialist
Stephen Rosenberg, an Employee Retirement Income Security Act (ERISA) and labor law litigator, has joined The Wagner Law Group.
Nuveen Adopts RiskFirst Technology to Enhance LDI Services
Nuveen Asset Management will use RiskFirst’s web-based analytics platform, PFaroe, to help craft customized liability-driven investment (LDI) strategies for institutional clients and corporate pension plans.