Waiting on an In-Plan Income Safe Harbor
Defined contribution retirement plan sponsors remain cautious and curious about structured withdrawal products.
Tag: ERISA
DC Plan Litigation Landscape Still Heating Up
The end of 2015 has seen an expanding range of retirement plan litigation cases, notes ERISA attorney David Levine.
Would Providing SARs Really Help Participants?
OMB is asking advisers and retirement industry providers for comments about the necessity of providing Summary Annual Reports to participants, and the burden it might create for industry...
Cerulli Questions Common ‘Fiduciary Rollover’ Narrative
Cerulli Associates does not anticipate a slowdown in adviser-mediated rollover activity in the foreseeable future—whether or not a strengthened fiduciary rule is approved by the DOL.
Post Budget Act Stumble, Congress Tries Again to Impact Fiduciary Rule
It’s a particular skill of Congress to make the improbable appear promising—whether it comes to overturning the Affordable Care Act or, as was the case this week, delaying...
Congress Fails in Effort to Slow Fiduciary Rule Process
In the end, none of the various proposals moving in Congress around the omnibus appropriation budget deal regarding the fiduciary rule were included.
SCOTUS Case Could Reshape ERISA Liens and Damages
ERISA attorney Nancy Ross explains the potential outcomes of Montanile v. Board of Trustees, a low-flying but potentially important Supreme Court case testing the difference between damages and...
Plan Sponsor Procedural Errors Rebuked by Appeals Court
A federal appeals court found easy grounds for approving a default judgement levied against a plan sponsor whom effectively ignored participants’ claims regarding delinquent employer contributions.
Changes ‘Could Happen Soon’ to Fiduciary Rule
Lawmakers and industry reps are concerned with where the proposal is heading, what’s in it and how fast it’s moving.
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Advice to Slow Leakage Critical Point in Fiduciary Fight
“A phone consultation, an illustration of lost future value, or an example of net take-home after taxes can effectively dissuade participants from accessing retirement funds prematurely,” according to...
Fiduciary Skill Critical to Plan Distribution Success
ERISA attorney outlines key fiduciary responsibilities related to retirement plan distributions and rollovers.
More SEC Rules on Alternatives Transparency Are Coming
The SEC this week voted to propose rules to enhance operational transparency and regulatory oversight of alternative trading systems—and the activities of brokers using them.
Road Ahead for Auto-IRAs and Open MEPs
ERISA attorney David Levine offers a few thoughts about the potential road ahead for auto-IRAs and state-run open MEPs for the private sector.
Closer Look at State-Run Retirement Systems for Private Sector
Industry insiders are divided on whether this is a good idea.
DOL Proposes Guidance on State-Run Plans for Private Sector
States offering retirement planning solutions to private-sector workers got their first look at a few highly anticipated (and increasingly controversial) pieces of regulatory guidance this week.
Wider U.S. Retirement Investing in China on the Horizon?
Volatility and geopolitical challenges aside, experts at one ERISA-focused law firm are hearing more frequent inquiries from qualified U.S. retirement plans about investing in domestic Chinese markets.
State Street’s Handling of GM Stock for 401(k) Gets Court Blessing
After much back and forth, an appellate court has finally dismissed a lawsuit against State Street Bank and Trust Company over its handling of the employee stock ownership...