Browsing Tag
Compliance
21 posts
Action Steps to Help 401(k) Participants Thrive in 2020
New Willis Towers Watson paper has 2020 action steps for DC plan sponsors in the areas of financial wellbeing, investments and plan compliance.
Financial Firms Struggling with E-Communication Compliance
The financial advisors that actually use social media are struggling to stay compliant, as ongoing innovation in electronic…
Reg BI Cometh! An Webinar from Fi360
After one false start followed by nearly a year of anticipation, the SEC Commissioners have finally adopted a…
3 Potential 401(k) Plan Problems (and How They’re Fixed)
401(k) plans are like complicated machinery with a lot of moving parts and a lot of ways that…
Painless 401k Compliance? Avoid These 5 Mistakes
In a study of over 350 companies nationwide, we’ve found that the average company makes 53 payroll mistakes…
Finally! ERISA Record Retention Requirements in Plain English
ERISA record retention requirements. Say that five times fast. All joking aside, this is actually pretty serious business.…
Everything is Awesome! Why 401(k) Plan Problems Go Undetected
When I was dating my wife, she asked about my credit score. I never checked it, but I…
Pershing Launches 401(k) Plan Oversight Tool
On Monday, BNY Mellon’s Pershing today announced the launch of a new solution to help firms and plan…
The Fiduciary Rule’s Effect on Fund Management Outsourcing
Another effect of the fiduciary rule? A rhetorical question if there ever was one. New research from global research…
SEC Gets in on 401(k) Fiduciary Rule Compliance
Fiduciary Rules Guidance helps mutual funds streamline compliance with SEC requirements for sales loads and post-effective amendments.