Compliance

The Securities and Exchange Commission (SEC) charged two investment advisers at Oppenheimer & Co. with misleading investors about the valuation policies and performance of a fund.

The Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) has resources for participants to learn about plan fees.

Frederick J. O’Meally had a final judgment entered against him by a federal court in New York stemming from an action filed by the Securities and Exchange Commission...

Another lawsuit has been filed against Fidelity Investments regarding its use of float income.

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) requires that swap transactions go through a clearing process.

The Securities and Exchange Commission (SEC) said that William M. Stephens solicited investors and was paid fees, but never registered as a broker. 

 Is the Department of Labor (DOL) stepping on toes with its guidance about target-date fund (TDF) selection?   

Defined benefit (DB) plan sponsors have new guidance concerning new disclosure requirements mandated by the Moving Ahead for Progress in the 21st Century Act (MAP-21).

Annuity contracts can bring up several Employee Retirement Income Security Act (ERISA)-related issues that plan sponsors should consider.

 The  “Power Attorney Debate” at NAPA/ASPPA 401(k) Summit covered key issues for 2013.

With care, individual retirement account (IRA) rollovers from 401(k)s are possible.

 The Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) prepared general guidance to assist plan fiduciaries in selecting and monitoring target-date funds (TDFs).  

By and large, 401(k) plans have been a success. 

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.