Compliance | August 19th, 2013 Investment Adviser Ordered to Restore Plan Losses August 19, 2013 (PLANSPONSOR.com) – An investment adviser has been ordered to restore plan losses, incentive fees and penalties for...
Compliance | August 15th, 2013 DOL Seeks to Replace Deceased Plan Trustee August 15, 2013 (PLANSPONSOR.com) – The U.S. Department of Labor (DOL) has asked a New York district court to replace...
Compliance | August 8th, 2013 DOL Announces Removal of Plan Fiduciaries August 8, 2013 (PLANSPONSOR.com) – The U.S. Department of Labor (DOL)’s Employee Benefits Security Administration (EBSA) announced default judgments have...
Compliance | August 5th, 2013 Brokerage Must Repay Plan Participants, Beneficiaries August 5, 2013 (PLANSPONSOR.com) – An insurance brokerage firm must repay more than $270,000 to the participants and beneficiaries of...
Compliance | August 2nd, 2013 Court Orders Ill. Company to Restore Plan Assets August 2, 2013 (PLANSPONSOR.com) – More than $150,000 must be restored to the profit-sharing plan of a now-defunct Illinois company,...
Compliance | August 2nd, 2013 Surviving and Avoiding DOL Service Provider Investigations August 2, 2013 (PLANSPONSOR.com) – There are practices that can trip up retirement plan providers and make them susceptible to...
Compliance | August 1st, 2013 Fiduciaries Removed from Kentucky Pension Plans August 1, 2013 (PLANSPONSOR.com) – A district court granted a preliminary injunction against former fiduciaries of several Kentucky pension plans.
Compliance | July 31st, 2013 More Regulatory Guidance Expected August 1, 2013 (PLANSPONSOR.com) – Plan sponsors and advisers are awaiting more regulatory guidance about a number of important issues.
Compliance | July 31st, 2013 SPARK Recommends Disclaimers for Lifetime Income Illustrations July 31, 2013 (PLANSPONSOR.com) - The SPARK Institute said it supports guidance that will encourage retirement plan sponsors and service...
Compliance | July 25th, 2013 DOL Welcomes New Secretary July 25, 2013 (PLANSPONSOR.com) - Thomas E. Perez was nominated by President Obama to serve as the nation's 26th Secretary...
Compliance | July 24th, 2013 DOL Resolves Case of Illegal Pension Transactions July 24, 2013 (PLANSPONSOR.com) – The U.S. Department of Labor (DOL) has obtained a judgment in federal court against a...
Compliance | July 23rd, 2013 Income Projections Need More Flexibility July 23, 2013 (PLANSPONSOR.com) – Putnam Investments has a few recommendations for the Department of Labor (DOL) about lifetime income...
Compliance | July 23rd, 2013 DOL Offers Fiduciary Responsibilities Webcasts July 23, 2013 (PLANSPONSOR.com) - The U.S. Department of Labor’s (DOL’s) Employee Benefits Security Administration (EBSA) will sponsor Getting It...
Compliance | July 18th, 2013 DOMA Ruling Will Impact Employer-Provided Benefits July 18, 2013 (PLANSPONSOR.com) – The recent ruling on the Defense of Marriage Act (DOMA) will impact employer-provided benefits in...
Compliance | July 16th, 2013 IRS to Teach About Internal Controls July 16, 2013 (PLANSPONSOR.com) – The Internal Revenue Service (IRS) is hosting a phone forum about good internal controls.
Compliance | July 10th, 2013 DOL Revises Definition of Rating Agency July 10, 2013 (PLANSPONSOR.com) – Morningstar Credit Ratings, LLC, is now qualified as a “Rating Agency” as defined by the...
Compliance | July 8th, 2013 DOL Sues Medical Practice for 401(k) Contributions July 8, 2013 (PLANSPONSOR.com) – The Department of Labor (DOL) has filed a complaint against Pulmonary Disease & Critical Care...
Compliance | July 5th, 2013 DOL Sues Hospital Owners for Employee Benefits July 5, 2013 (PLANSPONSOR.com) – The U.S. Department of Labor (DOL) is suing the owners of a Louisiana hospital for...
Compliance | July 2nd, 2013 Industry Leaders to DOL: Don’t Stifle Innovation July 3, 2013 (PLANSPONSOR.com) - Lifetime income projections can be eye-opening for participants, but only if they're illustrated effectively.
Compliance | June 28th, 2013 Compliance Issues for 403(b)s June 28, 2013 (PLANSPONSOR.com) – Some retirement plan compliance issues are unique to 403(b)s.