Compliance

FSR says, “access to investment services for investors with modest-sized and small account balances has been, and will continue to be, substantially diminished as a result of the...

Along with its comment letter to the Department of Labor, SIFMA sent study results that showed advisers have reduced access to retirement advice and products.

Many retirement industry providers will be glad to see the DOL is starting to signal a delay in the applicability date of the full new fiduciary rule and...

In addition, the 5th Circuit found a settlement agreement between Singing River Health System and its current and former employees was unfair, as there was no guarantee of...

The denial of the class certification motion goes into some detail regarding what it takes to establish class standing under ERISA.

Groom Law Group attorneys say they have seen an increase in the number of pension plans that have faced possible Office of Foreign Assets Control violations arising from...

However, the single-employer program is likely to eliminate its deficit within the next three to seven years.

The plaintiffs failed to meet pleading standards set forth in Fifth Third v. Dudenhoeffer, a court ruled.

There were thousands of new comments submitted on the fiduciary rule RFI by a variety of parties, from concerned individual investors to the largest recordkeepers and asset managers.

In general, if a covered service provider will continue after the fiduciary rule to provide services only in a non-fiduciary capacity, or has already effectively disclosed investment advice...

On the IRS’ list are rules and guidance for which it still plans to issue a Notice of Proposed Rulemaking (NPRM).

Several states are in the process of debating and potentially adopting their own legislation relating to the fiduciary responsibilities of broker/dealers and investment advisers.

American Century must produce profitability, expense and performance reports created under provisions of the Investment Company Act for all the funds in its retirement plan.

At least one judge on the three-judge panel that has been assigned to the case seemed to have little sympathy for the basic strokes of the DOL’s arguments.

The department said demand for and investment in the myRA program has been extremely low.

The bill creates a new 401(k)-style defined contribution plan with an automatic employer contribution of 4% of the employee’s salary.

MagnaCare has been ordered to return at least 14.5 million to ERISA-covered health benefit plans.

Retirement plan industry stakeholders are asked what objectives and projects the pension insurance agency should prioritize in the years ahead. 

During an interview, a job candidate who was older than 40 was told the employer had concerns he may not have a long tenure with the agency.

The proposed Implementation Guide provides answers to questions intended to clarify, explain, or elaborate on the requirements of GASB Statement No. 75, and addresses a limited number of...