Compliance

The U.S. Department of Labor (DOL) is suing to restore $34.6 million in assets to two pension funds for employees of auto supplier Metavation.

Employees at Truman Medical Centers (TMC) sued the hospital for changing their retirement plans.

A federal appellate court has determined a plan administrator was right in bypassing a deceased retirement plan participant’s stepchildren when distributing his account.

All the controversy regarding the Department of Labor’s (DOL’s) guidance about fee disclosures for brokerage windows may have overshadowed its guidance for model portfolios. 

Social media offers an opportunity to build your brand. But send a seemingly innocent tweet – or “like” the wrong Facebook page – and you could step into...

It is up to a plan’s investment committee to determine whether the cost of reimbursing revenue-sharing fees to each participant is effective—or prohibitive.

The Department of Labor’s (DOL’s) Employee Benefits Security Administration (EBSA) issued Field Assistance Bulletin (FAB) No. 2012-02R, which supersedes Field Assistance Bulletin No. 2012-02. On May 7, the...

 Industry groups are urging a federal appellate court to uphold a ruling for judicial deference to a plan administrator in interpreting a plan under ERISA.

The U.S. Department of Labor's Employee Benefits Security Administration issued Field Assistance Bulletin (FAB) No. 2012-02R, which supersedes Field Assistance Bulletin No. 2012-02.

Employee Retirement Income Security Act (ERISA) retirement plans will have more time to comply with new rules concerning swaps.  

The Financial Planning Coalition welcomed the Investment Adviser Examination and Improvement Act of 2012, while the Bachus self-regulatory organization...

FINRA’s proposed fee hikes for new applications and branch office registrations would force many independent broker/dealers (IDBs) out of business, the Financial Services Institute (FSI) said.

Practice management seminars and informational materials are among the supports The Hartford rolled out for advisers to explain 401(k)...

The Internal Revenue Service (IRS) has made it clear that it will look for information sharing between 403(b) plan sponsors and vendors with 2009 plan audits.

An official from the Department of Labor (DOL) said further guidance may be issued regarding the treatment of brokerage windows in participant fee disclosures.

The SEC is better suited to oversee independent advisers, the National Association of Personal Financial Advisors argues.

The Commodity Futures Trading Commission (CFTC) voted to finalize definitions and exemptions as part of the new regulatory regime for over-the-counter (OTC) derivatives.

  The Securities and Exchange Commission (SEC) took another step toward regulating over-the-counter (OTC) derivatives by approving rules and interpretations for key definitions of certain derivative products.      

The Department of Labor’s Employee Benefits Security Administration (EBSA) announced a workshop in South Carolina for retirement plan fiduciaries.

 Six in ten employers surveyed are hoping for full repeal of the Patient Protection and Affordable Care Act...