Compliance

Speakers from the DOL will discuss basic fiduciary do’s and don’ts associated with operating an employer-sponsored retirement plan. 

A series of recent district court decisions show strong deference for the DOL’s right to promulgate a more aggressive fiduciary standard—how relevant the decisions will remain under President...

John Scott with Pew Charitable Trusts says there are some complicating factors that do not lend to a straightforward analysis of how this will affect those plans if...

The seminar will be held at Circus Circus Hotel on Thursday, March 23.

Whoever takes on the role of DOL Secretary will be tasked with overseeing the Trump administration’s response to the forthcoming fiduciary rule reforms. 

The lawsuit alleges the defendants failed to loyally and prudently monitor the fees and performance of 401(k) plan investment options, and simply retained in-house funds to enrich T....

The insurance company will pay $3,000,000 to a settlement fund.

A look at the retirement plan run by CKE Restaurants offers some food for thought about why the company's CEO, Andrew Puzder, backed away from the post of...

The plaintiff argues she was improperly fired to prevent her from fully vesting in pension and retirees healthcare benefits. 

A Texas district court judge has rejected industry arguments that the DOL exceeded its authority in crafting the forthcoming fiduciary rule—what this spells for the regulation’s future under...

Their concerns are that small businesses will be discouraged from offering retirement plans to employees, and that employees put into state-run plans will not have the protections of...

A revenue ruling reveals compensation tables for use in determining contributions to defined benefit plans as well as the taxable wage based used in permitted disparity contribution formulas...

The updated procedures on determination letter requests comes after the IRS essentially ended its determination letter program.

A new publication from the SEC outlines the five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers.

A participant who drew four loans from a retirement account over the years argues her provider inappropriately kept portions of interest payments that should have been credited back...

The Trump White House has clearly tried to label itself as pro-business, but the effort to halt the fiduciary rule has so far injected more confusion than clarity...

Fiduciaries have a lot of responsibilities, but they are not required to predict the future, and cannot be held liable for deciding to avoid risks that, in hindsight,...

The form is important for tax-exempt organizations to file, not only to remain exempt, but to qualify to sponsor 403(b) plans.

A federal court judge has denied a motion to dismiss, allowing the case to move forward.

Of course, this review could lead to a delay in, or even halt of, implementation of the rule.