beyond (k)
403(b) aware
New 403(b) rules may offer opportunities for advisers to have a "client touch"
Tag: ERISA
dean's list
Opportunity “Knocks”
The past year has brought with it an extraordinary amount of change to our industry.
EBSA Recovered More Than $1B in 2009
The U. S. Department of Labor’s Employee Benefits Security Administration (EBSA) reported recovering $1.36 billion in 2009 for employee benefits plans governed by the Employee Retirement Income Security...
investment-oriented
Who Needs an Adviser?
Picking the best solutions—even the best automatic solutions—still requires expertise
fiduciary fitness
Map Quest
Mapping funds remains one of the central issues in maintaining 404(c) compliance
getting your money's worth
Pay Check
Sometimes, tracking your income can be the hardest part of serving the retirement plan market
sales champ
Buddy System
Retirement plan relationships are evolving from a casual give and take toward something more formal
ERISA Class Actions Picked up in 2009
The nation’s economic downturn has prompted plaintiffs’ lawyers to increase the pace of filing of class action lawsuits to recover 401(k) plan losses under the Employee Retirement Income...
Principal's Hold on Real Estate Fund Sparks Lawsuit
After imposing a withdrawal queue on distributions from a real estate fund, The Principal Financial Group now finds itself targeted with a participant lawsuit.
Vick Advisers Barred from ERISA Plans
Michael Vick’s former financial advisers won’t be working with ERISA plans anymore.
SPARK Seeks Comments on Form 5500 Guidelines for 403(b)s
The SPARK Institute has released a draft of new guidelines for ERISA-covered 403(b) plans that, due to new regulations, must now file a full Form 5500.
White Paper Helps 403(b) Sponsors with Fiduciary Roles
Diversified Investment Advisors, Inc., has released a white paper about 403(b) plan compliance with statutes of the Employee Retirement Income Security Act (ERISA).
IRS Audit Project Finds Low Bonding Coverage Problem
When the Internal Revenue Service (IRS) put about 50 Form 5500 filings to the test recently, the plans filing the annual reports flunked on one major issue—buying enough...
U.S. Sugar Agrees to $16M-Settlement of ERISA Claims
Clewiston, Florida-based U.S. Sugar has agreed to pay $15.9 million to settle a breach of fiduciary duty lawsuit brought by 4,000 current and former employees, BLR reported.
DoL Discusses Lifetime Annuity Income Project
The U.S. Department of Labor (DoL) said it is investigating how it can best encourage the use of lifetime annuities or other similar instruments.