Tag: Compliance

The university medical center’s retirement plan failed to disclose revenue sharing or float income and caused workers to pay excessive...

A former RIA founder, Curley will manage global financial services strategy.

The 3rd Circuit Court of Appeals upheld a District Court ruling that government plans are not covered by ERISA.

Alight’s expanded wellness programs allows employees’ families to join; ComplySci launches regulatory compliance guide for financial firms; Equitable adds volatility...

More than $500 million of the recoveries returned to defined benefit plan participants.

Cryptocurrency regulation is needed for the broad health of both financial markets and 401(k) investors, the CFTC chief warned senators. 

With final DOL ruling, plan sponsors can consider climate change and other ESG factors when selecting investments.

The energy company was sued by two former employees for keeping poorly performing options on its retirement fund menu.

Plaintiffs had alleged that Home Depot did not monitor their retirement plan offerings closely, and that they charged participants excessive...

An IRS bulletin for preapproved plan sponsors warns of consequences for missing the restated adoption agreement deadline.

This development marks the second phase of its compliance dashboard enhancement effort.

Plan sponsors will have a number of new compliance checks to keep in mind.

The complaint states that Gucci America was “particularly egregious” in regards to offering proprietary funds from its service provider Transamerica.