Tag: Employee Retirement Income Security Act

Compliance News

Legislative and Judicial Actions

FINRA Share-Class Sweep Highlights Importance of CooperationThe Financial Industry Regulatory Authority (FINRA) announced the final results of its mutual fund...
Regulatory Radar

Major Cases

A roundup of recent noteworthy retirement plan litigation developments
Compliance News

Legislative and Judicial Actions

Fiduciaries Get Final Win in Disney SuitA federal appellate court has affirmed a lower court decision in a lawsuit against...
Art by Tim Bower
Compliance Consult

Lost Participants

It is sponsors’ duty to locate their terminated ‘missing persons’