Compliance

As government looks for budget solutions, defined contribution tax breaks fall in the crosshairs.

Retirement plan sponsors should beware of potential fiduciary pitfalls when combining the summary plan description (SPD) and prospectus.

The Department of Labor (DOL) reached a settlement to compensate employee benefit plans for losses suffered through investments in Bernard L. Madoff’s Ponzi scheme.

The ERISA Industry Committee (ERIC) is urging a court to reject class certification in a lawsuit alleging fiduciary breach claims concerning stable value fund investments in money market...

Among its exam priorities, the Securities Exchange Commission (SEC) listed sales practices, fraud, and compliance for advisers registered as broker/dealers.

Provisions of the American Taxpayer Relief Act of 2012 (ATRA 2012), which expanded the availability of in-plan Roth conversions, increased the need for additional regulatory guidance.

The Department of Labor (DOL) has released its regulatory agenda for 2013.

The Department of Labor’s (DOL’s) Employee Benefits Security Administration (EBSA) will host two free webcasts for small-business owners as part of America Saves Week.

The Internal Revenue Service (IRS) has posted frequently asked questions (FAQs) and answers regarding required minimum distributions (RMDs).

The Department of Labor (DOL) has obtained $80 million for participants of Sherwin-Williams’ employee stock purchase and savings plan.

Many taxpayers will have to report some taxable income from amounts converted to a Roth IRA in 2010.

The Financial Industry Regulatory Authority (FINRA) fined five affiliates of ING $1.2 million for failing to retain or review millions of emails.

A question for providers of guaranteed minimum withdrawal benefit (GMWB) products is whether (and how) the qualified joint and survivor annuity (QJSA) rules of the Internal Revenue Code...

The Internal Revenue Service (IRS) issued guidance reflecting changes to pension funding calculations in the Moving Ahead for Progress in the 21st Century Act (MAP-21).

A former investment adviser to the two City of Detroit pension funds pleaded guilty to his part in a pay-to-play scheme.

Participants from three 401(k) plans have filed a lawsuit against Fidelity Investments regarding its use of float income.

 Another group of participants has failed to establish standing to sue KeyCorp for claims related to its 401(k) plan’s stock holdings.   

ING Life Insurance and Annuity Co. has agreed to settle allegations brought by the Department of Labor (DOL).

The Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) is offering its fiduciary responsibilities seminar to small businesses in San Francisco.

Former employees of Jeld-Wen Inc. filed a lawsuit claiming an amendment to the firm’s employee stock ownership plan (ESOP) took away their benefits.