Compliance

The U.S. Department of Labor (DoL) released an agenda for its public hearing on a proposal to refine the definition of fiduciary.

After five years of litigation, a judge gave final approval to a settlement of a suit accusing Ford Motor Co. of continuing to offer company stock in its...

Inadequately protecting confidential customer information was the reason behind the fines.

The SPARK Institute hosted a Webinar Wednesday that discussed how “harmonization” would work if broker/dealers (B/Ds) and registered investment advisers (RIAs) were to work under a uniform fiduciary...

With Washington causing quite a stir in proposing changes to the definition of fiduciary, the Virtual PLANADVISER National Conference brought together experts to discuss the realities of such...

After a two-week public comment period, the SPARK Institute released a final updated version of its information sharing best practices for 403(b) plans.

A federal judge in Pennsylvania ruled that Lincoln National Corp. can argue that its actions as fiduciaries did not cause the plaintiff's investment losses.

Federal regulators issued a series of advisory opinions from correspondents asking for interpretations of the Employee Retirement Income Security Act (ERISA).

Two trade groups have applauded the U.S. Department of Labor’s proposed redefinition of a fiduciary, but suggested a handful of improvements.

A federal judge in Texas gave final approval to a $2.4-million settlement of a class-action suit against RadioShack for breaching its fiduciary duty.

The U.S. Department of Labor’s Employee Benefits Security Administration (EBSA) delayed the implementation of its new 408(b)(2) fee disclosure rules by six months.

Sponsors applying to the Internal Revenue Services' (IRS) Voluntary Correction Program (VCP) may be able to save some money in the process.

The U.S. Department of Labor obtained a consent judgment ordering Arkion Life Sciences to restore $193,795 in restitution and interest to the company's 401(k) plan.

JPMorgan Chase & Co accused the trustee seeking $6.4 billion for victims of Bernard Madoff's Ponzi scheme of exceeding his authority by suing in bankruptcy court, where a...

The Trustee for the liquidation of Bernard L. Madoff Investment Securities LLC (BLMIS) has announced that his complaint against JPMorgan Chase & Co., JPMorgan Chase Bank, N.A., J.P....