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Regs and Regulators

TIAA Sales Practices in Question – NY Times

TIAA Sales Practices

TIAA may be in hot water, according to a recent New York Times article. The New York attorney general has subpoenaed documents and information related to dubious sales practices ...

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Plan Sponsors: Don’t Forget Those Annual Plan Notices

Plan Sponsors

Plan Sponsors: Don’t Forget Those Annual Plan Notices. The 2017 plan year is winding down, so it’s a good time for defined contribution plan sponsors to look ahead and determine ...

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DOL Disclosure Requirements – Fiduciary Rule

DOL Disclosure Requirements

DOL Clarifies Disclosure Requirements and Investment Recommendations for Fiduciary Rule. Though the DOL’s conflict of interest rule went into effect June 9, 2017, questions remain about the rule, the Best ...

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Penalties Hit ERISA Plans in Spite of CPA Audits

Penalties Hit Erisa Plans

Penalties Hit Erisa Plans In Spite of CPA Audits By Roland Criss. The Department of Labor (“DOL”) assesses significant penalties for an improperly filed Form 5500. Mistakes on an ...

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Avoid Costly Penalties for Late Form 5500 Filing

Avoid costly penalties for late form 5500 filing. In addition to the many other local, state, and federal filings, businesses with benefits plans may be required to file an ...

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Handling a DOL Audit

DOL Audit

So what happens if your defined contribution (DC) the subject of a DOL audit? What should you expect and what should you do? A Pittsburgh based TPA provides some ...

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What’s Triggering DOL Audits Today

At a TPSU program held at Adelphi University, a former IRS investigator now working with ERISA plans like 401ks and 403bs explains what is triggering DOL audits this year. ...

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Ultimate Effect of DOL Fiduciary Rule Years to Come

When the DOL fee disclosure rules 408b2 and 404a5 went into effect in the summer of 2012, many experts predicted an industry upheaval resulting in an onslaught of calls ...

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Taking the Pain Out of Hardship Withdrawals

Typically, participants may only withdraw funds from their retirement savings without incurring a tax penalty in three scenarios: when they retire, at age 59 1/2, or if the plan ...

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DOL Rule Dramatically Changing 401k Advice

Now that we know that the DOL fiduciary rule will go into effect June 9th, 401k and 403b plan sponsors need to start paying attention to the likely change ...

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