Browsing Tag
Regulation
215 posts
Regulation refers to the laws and rules established by government agencies to ensure the fair and secure operation of retirement savings programs like 401(k)s. These regulations, primarily under ERISA, the IRS, and the Department of Labor (DOL), set standards for plan management, fiduciary responsibility, contribution limits, disclosure requirements, and participant protections. The goal is to safeguard employee benefits, promote transparency, and hold plan sponsors accountable for managing retirement assets responsibly and in the best interests of participants.
Hedge Fund in DOL Hotseat Over Retirement Plan Assets
Hedge fund pension assets face scrutiny as Alden Global Capital comes under Department of Labor investigation.
DOL: 401(k) Plan Fiduciaries MUST Find Missing Participants
DOL MEP regulations focus on missing participants, disclosures, and rules to improve recordkeeping and protect retirement plan members.
16 Retirement Plan Provisions in the SECURE Act (Simplified)
Employee benefits consulting firm Strategic Benefits Advisors (SBA) helpfully—and succinctly—lists the provisions of the bipartisan act.
Recent Fiduciary Breach Case Has Major Implications for 401k Advisors
Fiduciary breach case may reshape 401(k) advisory roles; Roger Levy discusses Brotherston v. Putnam at Fi360 Conference.
What’s Happening With SEC’s Reg BI? Fred Reish
The DOL, harmonization, when the rule will happen—lots of questions that Fred Reish answers at Fi360's annual conference.
Potential Traps in The DOL’s Temporary Enforcement Policy
The overturning of the DOL’s Fiduciary Rule by the Fifth Circuit last year had two impacts: first, the…
EBSA Monetary Recoveries Significantly Increase
The Department of Labor (DOL) releases statistics regarding their actions as well as a strategic plan for enforcement for the coming year.
How Auto Portability Serves 401(k) Participants’ Best Interests
This series is meant to identify five key reasons why an auto portability program serves the best interests…
Two Major Regulatory Issues Dominating 401(k) Discussion
It’s not always easy for plan sponsors to communicate with participants. As technology changes how information gets shared,…
Fred Knows 401(k) Fiduciary
401(k) fiduciary mistakes by sponsors and committees create risks. Learn common errors and how advisors can prevent costly issues.