Compliance

The defendants in one of the church plan court cases have had their status confirmed by a federal court.

The expansion of the fiduciary definition proposed by the Department of Labor (DOL) could potentially impede the ability of small businesses to offer employees retirement plans, says a...

The Internal Revenue Service (IRS) is providing penalty relief for certain late filers of Form 5500.

In an open letter to the Department of Labor (DOL), the RAC contends the regulator’s proposed methodology for assessing the impact of 408(b)(2) fee regulations is flawed.

Timothy Davidson, a money manager in Florida, said in a potential class action suit that BlackRock Advisors charged disproportionately high investment advisory fees.

Fee policy statements are in the early stages, but they can help plan sponsors manage fees and help an adviser show he’s ahead of the curve.

The Internal Revenue Service (IRS) will hold a free phone forum this month about related employers.

The 11th U.S. Circuit Court of Appeals used its own case history to dismiss a lawsuit brought by participants in a Delta Air Lines employee stock ownership plan...

Recent guidance from the Securities and Exchange Commission (SEC) on social media use in adviser advertising is helpful, says one compliance services provider, but the update leaves questions...

The common law of attorney-client privilege is intended to enable clients to speak with their attorneys in trusted confidence about work-related issues.

The Department of Labor’s Employee Benefits Security Administration (EBSA) filed a complaint in federal court against a Tennessee profit-sharing plan over allegedly imprudent margin investing that triggered plan...

In 2010, the Internal Revenue Service (IRS) launched a large compliance project, the 401(k) Questionnaire.

When a participant terminates employment is not the only time defined contribution (DC) retirement plan account balances may be forfeited, and there are several ways to deal with...

While it has been reported many retirement plan service providers are concerned about pending fiduciary rule changes, one pair of compliance experts is more optimistic about a potential...

A recent survey report from the North American Securities Administrators Association (NASAA) finds a wide disparity in how broker/dealers and other financial services providers disclose fee charges.

The Financial Industry Regulatory Authority (FINRA) approved an amendment to its supervision rule that would require registered firms to conduct background checks on all registration applicants.

The Bipartisan Policy Center has launched a personal savings initiative meant to produce pragmatic policy recommendations for improving the retirement readiness of American workers.

The push for establishing mandatory access to workplace retirement savings provides important insights into the path advocacy groups must take to influence national retirement policy.

For the second time, a U.S. district court has found State Street Bank and Trust did not violate its duties to General Motors (GM) retirement plan participants in...

Value, not just cost, is what plan sponsors and participants should see when reviewing fee disclosures, some contend.