Compliance

A district court in Colorado has granted in part and dismissed in part a motion from Great-West to dismiss a class action lawsuit alleging the company breached fiduciary...

SEC staff intends to revamp focus on registered investment advisers and broker/dealers selling investment products to retail investors and retirement savers.

A committee approved an appropriations bill that would restrict the Department of Labor in its fiduciary rule efforts.

The guide for examinations agents serves as a reminder of NQDC plan rules.

Sponsored dinners with Ponzi operators and fees charged to the account-holders even after fraud charges were announced are among the allegations against Equity Trust Company.

There are a number of steps advisers should take to ensure that their plan sponsors are protected from substantial personal liability.

The information includes worksheets and explanations for the second Cycle E plan language, and explanations of the determination letter review process.

Labor Secretary Perez was just about the only witness called to a recent Congressional hearing to actually defend the DOL’s fiduciary redefinition effort.

A former employee of Peabody Energy is suing the coal producer over company stock investments in its DC plans.

The bill would require private-sector businesses to offer retirement accounts to employees.

Calls update to a 40-year-old rule “long overdue.”

In a section called “Reducing Harmful Red Tape,” the committee proposes a “provision prohibiting regulatory changes to the definition of the term ‘Fiduciary.’”

The announcement also includes the official notice of an extended comment period.

Collective bargaining agreements can make retirement plan administration more challenging.

Unresolved issues remain around the selectivity requirement for top hat plans.

The U.S. Chamber of Commerce issued a report warning the fiduciary rulemaking effort could harm small business employees. 

The U.S. Supreme Court has been asked to weigh in on whether a retirement plan may dictate the venue in which participant lawsuits are filed.

The Labor Department filed suit against a California-based manufacturer to recover millions of dollars for ESOP plan participants.

The appellate court found that Bank of America’s closing agreement with the IRS did not make the case moot.

Cash balance plans and ESOPs can now be submitted for an approval letter from the IRS.