Fiduciary Governance

Fiduciary Governance

By Nevin Adams11/17/2017 • 0 Comments

The National Association for Fixed Annuities hasn’t had much success thus far in its litigation challenging the Department of Labor’s (DOL) fiduciary regulation — until now. READ MORE

By John Iekel11/14/2017 • 0 Comments

Ohio Sen. Sherrod Brown (D) plans to introduce a bill intended to protect pension benefits for retirees in multiemployer DB plans. READ MORE

By John Iekel11/13/2017 • 0 Comments

Pension risk transfer is firmly entrenched, and for a variety of reasons. Some recent analyses offer their perspectives on the practice. READ MORE

By John Iekel11/1/2017 • 0 Comments

The technological revolution that has ushered in today’s electronic age is a thing of wonder. But it has also opened the door to theft and abuse of money and information, including from retirement accounts. A recent article discusses what can be done to address the threat. READ MORE

By Ted Godbout11/1/2017 • 0 Comments

While many are likely aware that the Best Interest Contract Exemption (BICE) requires satisfaction of three impartial conduct standards, there is a fourth, less well known requirement. READ MORE

By ASPPA Net Staff11/1/2017 • 0 Comments

The Federal Bureau of Investigation has raided the offices of Vantage Benefits Administrators “amid concerns that money may be missing from retirement accounts the company manages,” according to the Dallas Morning News. READ MORE

By John Iekel10/30/2017 • 0 Comments

“All politics is local,” it has been said, and that principle holds for ERISA enforcement, too — at least according to an expert panel at the recent ASPPA Annual conference held in National Harbor, MD. READ MORE

By ASPPA Net Staff10/27/2017 • 0 Comments

In a recent blog post on the fiduciary rule, Fred Reish notes that the fiduciary and best-interest standards of care, as well as the prohibited transaction rules, will have some unexpected effects. READ MORE

By John Iekel10/27/2017 • 0 Comments

The DOL means business regarding retirement plans’ compliance with applicable law and regulation, cautioned expert presenters at an Oct. 25 session of the ASPPA Annual Conference. READ MORE

By John Iekel10/18/2017 • 0 Comments

The PBGC announced on Oct. 16 that it is launching a new pilot program that will offer mediation in certain Termination Liability Collection and Early Warning Program cases. READ MORE

By Nevin Adams10/18/2017 • 0 Comments

The Department of Labor (DOL) continues to fight an attempt by at least one fiduciary rule opponent to pursue its case in court. READ MORE

By Nevin Adams10/13/2017 • 0 Comments

There’s an old saying that when you assume… well, here are six assumptions that can create real headaches for retirement plan fiduciaries. READ MORE

By ASPPA Net Staff10/11/2017 • 0 Comments

One of the fiduciary regulation’s most ardent supporters has expressed both concerns — and skepticism — that brokerage firms are shifting investors into account structures that result in higher costs. READ MORE

By Ted Godbout10/11/2017 • 0 Comments

A published report says the Trump administration is prepared to nominate a new Assistant Secretary for the Department of Labor’s Employee Benefits Security Administration (EBSA). READ MORE

By John Iekel10/5/2017 • 0 Comments

SEC Chairman Jay Clayton reiterated on Oct. 4 in testimony before the House Financial Services Committee that he is ���focused on the standards of conduct” for investment professionals. READ MORE

By Ted Godbout9/28/2017 • 0 Comments

Rep. Ann Wagner (R-MO) introduced legislation on Sept. 27 that would repeal the Department of Labor’s (DOL) fiduciary rule and create a new standard of conduct for brokers and dealers. READ MORE

By John Iekel9/26/2017 • 0 Comments

SEC Chairman Jay Clayton told the Senate Committee on Banking, Housing and Urban Affairs he hopes the SEC can “properly tailor” an approach that will best address issues related to the DOL fiduciary rule. READ MORE

By John Iekel9/21/2017 • 0 Comments

A sharper focus on how fiduciary duties are discharged and a heightened awareness of how one is performing such functions will not go away anytime soon; a recent paper discusses fiduciary risk and management. READ MORE

By ASPPA Net Staff9/20/2017 • 0 Comments

Legislation that would repeal the DOL’s fiduciary rule would have a negligible effect on federal revenues, say multiple cost estimates. READ MORE

By John Iekel9/15/2017 • 0 Comments

Running the plan and investing in a way mindful of environmental, social and governance concerns is a practice some plans follow, but a recent commentary questions whether that inhibits fulfilling fiduciary responsibility. READ MORE

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