Compliance

The DOL alleged that James Brunk and Brunk Industries Inc. failed to collect prevailing wage employer contributions for the employees’ 401(k) plan provided by government contracts for work...

The webcast will address treatment of different types of employees ways to fix universal availability errors, among other things.

A lawsuit filed by the Labor Department in 2015 alleged City National Corp.'s payments to its own staff to administer its 401(k) led to excessive fees for plan...

Senators are concerned that advisers won't work with smaller accounts because of new legal liabilities associated with the fiduciary rule. 

The agency is offering its “Getting It Right – Know Your Fiduciary Responsibilities” seminar in five locations.

An attorney says the final fiduciary rule has addressed most concerns, particularly when it comes to education.

Lawmakers say the bill "ensures that Congress is raising premiums only if and when it is appropriate.”

On remand from the Supreme Court, an appellate court found Tibble forfeited his ongoing-duty-to-monitor argument.

Proposed rules providing nondiscrimination testing relief for certain DB plans is not affected.

A trustee to a profit sharing plan offered by a New Jersey-based marketing firm is accused of abandoning his responsibilities to the plan and its participants. 

One retirement plan recordkeeper says those advisers making predictions that a strengthened fiduciary rule will lead to less financial guidance and investment education for small-balance savers are missing...

Johanson agreed to some of the broadest restrictions the department has sought to date on an attorney's ability to advise parties concerning transactions that involve employee benefit plans...

An EBSA investigation led to Gruber Systems Inc. having to repay more than $1 million in participant losses in the company’s employee stock ownership plan.

Both excessive fee cases will move forward.

The trustees named in a stock drop case have decided to settle, but the RadioShack plan sponsors aren’t conceding. 

FINRA has published an investor alert about required minimum distributions in traditional IRAs.

Participant education efforts are also impacted.

More than a few industry insiders and analysts have tipped their hats to DOL and Labor Secretary Perez for listening carefully to criticism and reshaping some of the...

ERISA experts warn that it will take some time to judge the final fiduciary rule published by the DOL, given the serious length and complexity of the rulemaking...

However, a few industry groups are still expressing concerns.