Tag: DoL

Some industry experts are concerned that covered service providers will misinterpret the Department of Labor’s (DoL) 408(b)(2) regulation guidance about using ranges to estimate indirect compensation.  

The Tribune Co., GreatBanc Trust Co. and various insurance carriers completed funding a global settlement of $32 million for the Tribune Employee Stock Ownership Plan’s participants. 

The U.S. Department of Labor (DoL) obtained a summary judgment ordering Compass Capital Partners Ltd. and owner Harris M. DeWese to restore $661,206 to the defunct West Chester,...

The 6th U.S. Circuit Court of Appeals revived a stock drop lawsuit brought by General Motors retirement plan participants against State Street.

 One of the key reasons for the 403(b) Transparency Taskforce’s new 403(b) model disclosure form is so vendors can show plan sponsors that they offer more than just...

Pioneer Investments launched a tool for registered investment advisers (RIAs) to help them comply with the new 408(b)(2) regulation.  

 The U.S. Department of Labor (DoL) filed a lawsuit against Towson Rehabilitation Center LLC and CEO Howard Neels for failing to remit employees’ contributions to the company’s 401(k)...

Now that the Department of Labor’s (DoL) regulation for 408(b)(2) has been finalized, it is important for plan advisers to understand how the final ruling impacts them.  

Judy Diamond Associates launched its BrokerSight database, which helps subscribers identify and begin relationships with producers in the retirement market.

Roland|Criss published its third in a series of white papers addressing the new 408(b)(2) regulation’s specific impact on retirement plan sponsors.

Members of the retirement plan community were mostly positive about the final rule on 408(b)(2) fee disclosure regulations.

EPIC Advisors Inc. (EPIC) chose Castle Rock Innovations’ (CRI) AXIS Retirement platform to provide compliance with the Department of Labor’s 408(b)(2) fee disclosure requirements.  

The U.S. Department of Labor’s (DoL) Employee Benefits Security Administration (EBSA) issued a final rule on 408(b)(2) fee disclosure Thursday.

Under new Department of Labor rules, retirement plan sponsors must provide fee disclosures to participants by May 31, 2012.

A report from Broadridge Financial Solutions provides insights designed to help firms successfully navigate the new fee disclosure regulation being implemented by the Department of Labor.

The average total plan cost for a small 401(k) plan (100 participants) is 1.3%. 

The Department of Labor (DOL) announced upcoming voluntary fiduciary correction program workshops in three states.

Monocacyfabs Inc., of Bethlehem, Pennsylvania, has been ordered to restore $34,000 to its 401(k) plan.

What will be the top four regulatory items for financial advisers to deal with in 2012? Josh Cohen and Ben Jones of Russell Investments shared their thoughts.

As financial professionals anxiously await the Department of Labor's next version of the fiduciary definition, Bradford Campbell, ERISA attorney and former head of EBSA, offered his insights today during...