Tag: Compliance services

The Securities and Exchange Commission (SEC) released the schedule for this year’s Regional Compliance Outreach Program for financial and compliance professionals working with broker/dealer firms.

Retirement plan sponsors can outsource much of the work involved in filling out and filing annual Form 5500s, but they’re still responsible for the results.

OTB Strategic Consulting, Inc., a business advisory firm, has launched The FIRE System, an online 401(k) self-assessment tool for plan fiduciaries.

Retirement specialist advisers are more successful than other consulting segments at earning high client satisfaction ratings and increasing key retirement readiness metrics, new research shows.

Financial reporting and governance services provider FRA PlanTools released the ERISA Matters Newsletter series to assist service providers’ efforts to educate clients and win new business.

More defined contribution retirement plans are out of compliance with Department of Labor (DOL) and Internal Revenue Service (IRS) regulations than some might think.

In this new age of fee disclosure, it may be surprising to some that more than one-quarter (26.6%) of respondents to PLANSPONSOR’s 2013 Defined Contribution (DC) Survey do...

Retirement services provider FRA PlanTools released a custom 408(b)(2) checklist product.

Mary Ann Picciotto will join OppenheimerFunds as chief compliance officer.

Retirement plan provider Securian Retirement announced the launch of a new open-architecture product offering.

American Century Investments has launched a new online tool for retirement plan sponsors and advisers to better assess plan effectiveness.

The two firms are collaborating to provide retirement plan sponsors and advisers with third-party administrator (TPA) services.

Traditionally, plan sponsors and advisers have focused on fiduciary responsibilities related to the selection and monitoring of investments.

Six years may be a good document retention yardstick, but advisers should warn their plan sponsor clients that it may not be right for retirement plans.

Lumesis’ DIVER Advisor software, a cloud-based platform, was added to LPL Financial’s suite for advisers.

The Ameritas Life Insurance Corp. hopes to onboard independent third-party administrators (TPAs) through a new sales program offering exclusive territories and support tools.

Compliancedashboard has expanded its interactive software to cover an employer’s compliance obligations when sponsoring a 401(k) plan.

LIMRA is offering a new training program by social media expert Erik Qualman, author of Socialnomics.  

The Prudent Practices and Prudent Practices for Investment Fiduciaries handbook series were updated by fi360 to keep current on fiduciary guidance for investment professionals.