Compliance

Compliance

December 16th, 2016

Federal Court Decision Again Denies Fiduciary Rule Injunction

The National Association for Fixed Annuities has failed again to win an injunction in a DOL fiduciary rule challenge that was previously defeated in a federal district court...

Compliance

December 15th, 2016

DOL, IRS Plan Audits Becoming More Frequent and Thorny

There are a wide variety of mistakes plan fiduciaries can make; getting it all right is an ongoing team effort.

Compliance

December 14th, 2016

Lawmaker Introduces Act to Shore Up Social Security

The bill would ensure benefits keep up with changes in the economy by using a more accurate measure of inflation for the annual cost-of-living-adjustment, among other things.

Compliance

December 14th, 2016

IRS Publishes List of Required Plan Amendments

The IRS noted that the fact that a change in a qualification requirement is included on the RA List does not mean that a plan must be amended...

Compliance

December 12th, 2016

DOL Secures Settlement Over Improper Asset Liquidation

A Chicago-based ophthalmologist was accused by the DOL of improperly diverting money from a DB plan’s investment accounts.

Compliance

December 9th, 2016

Progressive Proposal Offers One Take on Tax Reform

“Rather than taxing income, the Progressive Consumption Tax would generate reasonable revenue by taxing the purchase of goods and services,” suggests Senator Ben Cardin.

Compliance

December 9th, 2016

Mass. Securities Division Examines Broker Misconduct

State investment market regulators in Massachusetts have expressed serious concern around the continued employment of broker/dealer agents with histories of misconduct.

Compliance

December 9th, 2016

Future of the Fiduciary Rule Under New DOL Secretary

Donald Trump has nominated an outspoken critic of federal government regulation as DOL secretary, placing more uncertainty on the future of the fiduciary rule, according to some observers.

Compliance

December 8th, 2016

Consultants Reflect on Fiduciary Rule Progress

Consultants from Grant Thornton suggest they have already seen strong business impacts coming out of the DOL fiduciary rule.

Compliance

December 7th, 2016

Groups Say Form 5500 Proposed Updates Too Burdensome

Retirement industry groups ask agencies to scale down reporting requirements for investments, fees and compliance.

Compliance

December 6th, 2016

Senator Asks That Implementation of Fiduciary Rule Be Ceased

The Senator suggests that the new administration and Congress will likely unwind the rule, so the Labor Department should not impose unnecessary costs on advisers.

Compliance

December 5th, 2016

ERISA Stock Drop Suit Filed Against Exxon Mobil

Misrepresentations regarding climate change caused Exxon Mobil's stock price to be artificially inflated, the compliant says.

Compliance

December 5th, 2016

'Church Plan' Cases to Be Heard by Supreme Court

The cases for which petitions for writs of certiorari were granted include Dignity Health v. Rollins, Saint Peter’s Healthcare System v. Kaplan and Advocate Health Care Network v....

Compliance
December 1st, 2016

Voya Facing Lawsuit Over Stable Value Funds

A 403(b) plan participant is claiming that Voya set crediting rates for stable value funds lower than rates of return in order to make a profit.

Compliance
December 1st, 2016

Stable Value Fund Suit Sent Back for Amended Complaint

A federal judge has asked for an amended complaint showing that a stable value fund provider set interest crediting rates below actual rates of return in order to...

Compliance
November 29th, 2016

Annuities Industry Fiduciary Challenge Dwelt Blow In Federal Court

A U.S. District Court has handed down a DOL-friendly ruling in one piece of anti-fiduciary rule litigation that is seeking more leniency for fixed-index annuity providers.

Compliance
November 28th, 2016

Proposed DB Plan Regulations Address Changes Made by the PPA

Proposed rules by the IRS would amend the current final regulations under section 417(e) of the Internal Revenue Code regarding the minimum present value requirements of section 417(e)(3)...

Compliance
November 28th, 2016

Wells Fargo Self-Dealing Suit Questions Committee Practices

The latest example of retirement plan fee litigation questions the offering of an “easy enrollment” function that favored investment into the company’s own TDF mutual funds.

Compliance
November 23rd, 2016

Investment in Sequoia Fund Target of Another Retirement Plan Suit

The lawsuit claims retirement plan fiduciaries breached their ERISA duties by continuing to offer the fund, because it was not diversified.

Compliance
November 22nd, 2016

PBGC Issues New Table for Determining Expected Retirement Ages

The table is for use by pension plans undergoing distress or involuntary termination with valuation dates falling in 2017.

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