Browsing Tag
Compliance
20 posts
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
(Click on the video above.) Blaine Aikin, AIFA®, CFP®, CFA®, Executive Chairman, Fi360 and Duane Thompson, AIFA®, Senior…
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 401k Plan Problems Go Undetected
When I was dating my wife, she asked about my credit score. I never checked it, but I…
Pershing Launches 401k 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 401k Fiduciary Rule Compliance
The SEC’s Division of Investment Management released a Guidance Update on December 19, addressing certain procedural issues that have arisen…
Envestnet: ‘Opportunity from 401(k) Fiduciary Rule’
One of the biggest surprises for Envestnet in general, and Lincoln Ross specifically, from the DOL’s final fiduciary…