Tag: Compliance services

Envestnet Retirement Solutions (ERS), a subsidiary of Envestnet Inc., has completed its acquisition of participant advice and education solutions provider Klein Decisions Inc.

Cambridge Investment Research announced two new partnerships that bring expanded client service capabilities to the firm’s independent advisers.

A new study of 401(k) plans shows that more than 50,000 of them failed nondiscrimination testing for the 2012 plan year.

FCRC Apps, the technology developer behind eFiduciary.net, has added the new “SkyBoks” document upload and management feature to its suite of Web-based fiduciary governance tools.

ComputerSupport.com, a provider of cloud computing and digital security solutions, has expanded its compliance support and remote information technology capabilities for use by financial advisers and broker/dealers.

Michael Woomer has joined the Pittsburgh-based Fort Pitt Capital Group as a senior vice president in charge of the firm’s retirement plan and institutional sales division.

Open architecture and an uptick in the use of co-fiduciary services are changing the landscape for investment firms, according to Retirement Research Inc.

Retirement and college savings plan administration services provider Ascensus launched Ascensus Consulting.

Retirement Clearinghouse LLC (RCH) introduced an Internet-enhanced, comprehensive search service to locate missing retirement plan participants.

In an open letter to the Department of Labor (DOL), the RAC contends the regulator’s proposed methodology for assessing the impact of 408(b)(2) fee regulations is flawed.

Compliance consulting firm Lexington Compliance launched a registered investment adviser (RIA) registration service to help clients establish and manage new independent financial services firms.

The Internal Revenue Service (IRS) will hold a free phone forum this month about related employers.

Recent guidance from the Securities and Exchange Commission (SEC) on social media use in adviser advertising is helpful, says one compliance services provider, but the update leaves questions...

Matrix Financial Solutions selected Risk Compliance Performance Solutions (RCP) to provide uncashed check mitigation services to its qualified retirement plan clients.

Retirement planning software provider Trust Builders, Inc. is partnering with employee benefits and compliance expert Kristi Cook on the next release of The Retirement Analysis Kit (TRAK) system.

The Financial Industry Regulatory Authority (FINRA) approved an amendment to its supervision rule that would require registered firms to conduct background checks on all registration applicants.

Sponsors of both defined benefit (DB) and defined contribution (DC) retirement plans will need to review plan documents to ensure the definition of “spouse” conforms to current federal...

The Retirement Advantage, Inc. (TRA) released a new mobile application offering financial advisers and wholesalers remote access to key sales and plan administration resources.

FCRC Apps LLC, a financial services application developer, added a new embedded surveying feature to its suite of digital fiduciary governance support tools offered through eFiduciary.net.

As new fiduciary rules mushroom, retirement plan advisers must keep instilling basics of fiduciary liability in plan sponsors and committee members.