Compliance

Zamansky LLC has commenced an investigation of International Business Machine Inc.’s (IBM) 401(k) Plus Plan for possible violations of the federal Employee Retirement Income Security Act (ERISA).

Some believe more 401(k) plans will switch to government money market funds to respond to SEC rule changes.

Employees of small independent businesses would especially benefit from an expansion of accessibility and a simplification of rules applying to multiple employer plans, according to a report from...

The Supreme Court’s decision on employee stock ownership plans will likely impact clients offering, or thinking about offering, employer stock as an investment option.

Fidelity is taking issue with a recent Internal Revenue Service (IRS) reminder to retirement plan sponsors about their duties to track participant loans and hardship withdrawals.

Advisers responding to the recent fiduciary proposal have “distinct and divergent viewpoints about the rule.”

Comments delivered by FINRA leadership suggest the financial industry regulator is pumping the breaks on its controversial CARDS initiative.

“[ADP/ACP failure] really depends on how long the plan has been in existence, and whether or not the plan administrator has had any experience running a 401(k) plan...

The Securities and Exchange Commission (SEC) released its schedule of Compliance Outreach Program seminars, given regionally in six cities this year.

U.S. Representatives Dave Reichert (R-Washington) and Ron Kind (D-Wisconsin) introduced a bill to encourage the creation of S Corporation Employee Stock Ownership Plans (S ESOPs).

The cybersecurity of registered investment advisers (RIAs) is an important issue, says the Securities and Exchange Commission (SEC) in a guidance update.

A lawsuit filed by the Labor Department alleges excessive fees were charged to participants in the City National Corp. Profit Sharing Plan, leading to a breach of federal...

“Top hat” retirement plans aren’t subject to many ERISA requirements, but the unique treatment of the plans under employee benefit and tax law can lead to plan sponsor...

Sixteen industry groups are asking the Department of Labor (DOL) to extend the comment period on the fiduciary proposal.

Making law is akin to making sausage, notes Bob Collie at Russell Investments: It’s a messy process with lots of ingredients, especially in the tax-qualified retirement plan arena.