Employee Retirement Income Security Act (ERISA)

This proposed rule from 2014 would require certain service providers under ERISA, e.g., investment advisers and broker-dealers, to give the plan fiduciary a “guide” to ...

When the SEC forces you to hire a compliance consultant as part of a giant settlement, you know there are issues with your program.Compliance missteps ...

Advocates of an investment adviser fiduciary duty standard launched a repeat of their "Fiduciary September" last week by raising questions about excessive retirement plan fees ...

Last week the Department of Laborannounced its intent to modify a 36-year-old exemption under ERISA's prohibited transactions by accepting the SEC's summary prospectus rules to ...

If you manage 401(k) and other ERISA plans make sure your contracts nail down fees and include full disclosure. The risks of any missteps can ...

An adviser hired to manage an ERISA plan can be expected to meet with plan participants individually to discuss their 401(k) options. Does it matter ...

    Investment Company Act of 1940 – Sections 22(e) and 27(i)(2)(A) ING Life Insurance and Annuity Company Based on the facts and representations in ...

The criterion includes a 5-part test and you must answer "yes" to each part

It's gone. That's how some are describing last week's action by the Department of Labor to replace an FAQ that had advisers to 401(k) and ...

You survived the new disclosures attached to ERISA rule 408(b)(2) (IA Watch, June 15, 2012) and now it's time to prepare for the second wave: ...