Compliance

Compliance |

SEC Green Lights Archipelago Exchange

October 26, 2001 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) voted unanimously to allow Archipelago Holdings, a new electronic stock exchange, to function as a facility of...
Compliance |

Investment Advisor Info Now Online

September 26, 2001 (PLANSPONSOR.com) - The Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) have launched a website that will provide online information...
Compliance |

EEOC Cites Winning Track Record

August 14, 2002 (PLANSPONSOR.com) - When the Equal Employment Opportunity Commission (EEOC) takes a case to trial, odds are the agency will win.
Compliance |

Judge OKs IKON CoStock Settlement

August 14, 2002 (PLANSPONSOR.com) - A company's 401(k) plan will be revamped to allow participants to invest in options other than company stock with employer matching funds.
Compliance |

Judge Tosses out ADEA Claim

June 14, 2002 (PLANSPONSOR.com) - BankBoston didn't violate the federal Age Discrimination in Employment Act (ADEA) by converting its defined contribution plan into a cash balance plan, a...
Compliance |

Two Funds Allege Conseco Fraud

July 21, 2000 (PLANSPONSOR.com) - Sixteen asset management professionals have departed embattled Indiana-based Conseco for Philadelphia, as Delaware Investments ramps up its fixed-income asset management unit.