Compliance

A panel at the PLANADVISER National Conference discussed what is happening with regulators and in Congress that will affect retirement plan advisers and their clients.

An audit report claims the Department of Labor’s Employee Benefits Security Administration (EBSA) could do more to protect retirement plan assets from conflicts of interest.

Even though the U.S. Department of Labor (DoL) has already turned down a similar request, The American Society of Pension Professionals & Actuaries (ASPPA) has also asked for...

The Securities and Exchange Commission (SEC) has charged a pair of former State Street Bank and Trust Company employees with misleading investors about their exposure to subprime investments.

Lawsuits by workers claiming BP Plc’s North American unit mismanaged their retirement savings plan should be sent to the Texas court already handling investor claims prompted by the...

The Securities and Exchange Commission plans to introduce rules "in the next few weeks" that would give shareholders in 2011 a vote on the pay packages of top...

Two national business groups have gone to court to challenge the new Securities and Exchange Commission (SEC) proxy access rule.

The U.S. Department of Labor (DoL) has charged that a Laguna Hills, California, firm diverted more than $920,000 in employee and employer contributions owed to the company’s 401(k)...

 For advisers these days, disclosing fees is more important than what they make or how it is paid. 

President Obama on Monday signed into law the Small Business Jobs Act, which included a provision allowing in-plan Roth conversions in 401(k), 403(b), and governmental 457(b) plans.

The first step retirement plan advisers should take to avoid lawsuits is to educate plan sponsors on their role as a fiduciary and their need for insurance, according...

Whether it’s fear of “teenyboppers” or compliance issues, plan advisers have many questions related to social media and networking sites.   

The U.S. House of Representatives has approved a bill that includes provisions allowing retirement plan participants to roll over their assets into in-plan Roth accounts.  

Between the effects of the economic downturn and the implications of sweeping new regulations, sponsors of 403(b) plans have...

A federal judge in New York has tossed out allegations CitiStreet violated its fiduciary duties by misrepresenting the State Street Daily Bond Market Fund as a safe, conservative...