Tag: Regulatory Activity/Fees

Did you ever think so much controversy and confusion could be tied into one little word? 

Under the proposed DOL fiduciary definition, the types of information given to participants are restricted or permitted and the adviser’s compensation model will also be affected. Yet advisers may be more crucial than ever to participants' success.

The Republican-controlled House Financial Services Committee approved H.R. 1090, the “Retail Investor Protection Act,” for potential consideration by the floor.

Many SEC actions will impact retirement plan advisers.

Nearly all American investors agree financial advisers should be required to proactively disclose conflicts of interest, actual or potential, to would-be clients. 

The amount of cyber risk exposure in the financial services industry can be downright frightening to think about, but details of a recent settlement reached between the SEC and a St. Louis-based financial planner contain important lessons for retirement specialists assessing their own cybersecurity policies.

A survey of institutional asset managers highlights persistent uncertainty and lack of preparedness around pending SEC money market reforms.

A court found a pension plan’s SPD materially conflicted with the plan document, so a participant who expected to receive certain benefits can seek relief.

An adviser’s broad perspective and timely nudges can help the plan sponsor steer clearly through major changes.

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

ERISApedia.com’s The Fiduciary responsibility eSource now includes a discussion or privacy and security issues.

Hearings before two House Financial Services subcommittees add more commentary to the debate about the DOL's proposed fiduciary rule.

The proposed fiduciary rule would protect investors with slender assets in rollovers, DOL says.

Clarifying regulations could help plan sponsors choose plan investments, the GAO says.

A safe harbor plan requires an initial plan year that is at least three full months, making October 1 the effective deadline for creating a new plan in 2015. 

A lawsuit says BAT Masonry was valued at $13 million less than what its ESOP paid for company stock.

EPCU projects are a kinder, gentler way to ensure retirement plans comply with regulations.

The usual flow of retirement research and market commentary is being complemented this week by a refreshing look at the fundamentals—at the roles volatility and perception play in global markets.

Job seekers will have the best luck in seven cities in Arizona, California, Florida, Texas and Utah, a survey predicts.