News & Analysis as of

Retirement Plan Regulatory Standards

Pullman & Comley, LLC

IRS Cost of Living Adjusted Dollar Limits Applicable to Retirement Plans for 2022

Pullman & Comley, LLC on

The Internal Revenue Service and the Social Security Administration have announced the cost of living adjustments (COLA) applicable to dollar limitations for retirement plans and the Social Security wage base for 2022. Many...more

Cadwalader, Wickersham & Taft LLP

Wyden Wants to Limit “Mega-IRAs”

In late July, Senate Finance Committee Chair Ron Wyden and House Ways & Means Committee Chair Richard E. Neal released new data about the increased use of “mega-IRAs” over the last decade. ...more

Hogan Lovells

New criminal offences and unlimited fines: what employers need to know about the Pensions Regulator's new powers (Updated February...

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After the Carillion and BHS debacles, the Pensions Regulator (tPR) announced it was going to be "clearer, quicker and tougher". The new Pension Schemes Act 2021 (the Act), which received Royal Assent on 11 February 2021,...more

BCLP

BCLP Benefits Mid-Year 2020 Newsletter: Q2 2020 COVID-19 and Additional Regulatory Guidance

BCLP on

In the second quarter of 2020, we have seen employers faced with continued challenges as they manage the impact of the COVID-19 pandemic on their businesses and begin the process of returning to normal operations. The flurry...more

Hogan Lovells

UK FCA publishes annual Sector Views report

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The UK Financial Conduct Authority (FCA) has published Sector Views, its annual report examining how each financial sector is performing....more

Faegre Drinker Biddle & Reath LLP

403(b) and 457(b) Plans Going Under the Regulatory Microscope

It appears that the SEC has initiated a “sweep” examination to inquire into the sales practices applicable to retirement plans for teachers and state and local government employees. We understand that multiple SEC regional...more

Seyfarth Shaw LLP

SEC Imposes New Standard for Broker-Dealer Investment Advice

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On June 5, 2019, the Securities and Exchange Commission (“SEC”) voted to adopt “Regulation Best Interest,” which is intended to increase the duties a broker-dealer owes to its clients. While SEC-registered investment advisors...more

Kramer Levin Naftalis & Frankel LLP

SEC Adopts Regulation Best Interest and Related Rules and Interpretations

On June 5, 2019, the SEC adopted a package of rules and interpretations (the Adopted Rules) to clarify and further articulate the relationship between retail investors and their broker-dealers or investment advisers....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - February 2018

A Call For A New Standard For Financial Advisors. A higher standrad for today. Over the last 10 years, there has certainly been a revolution among 401(k) financial advisors about the need and concern of good fiduciary...more

Mintz - Employment Viewpoints

No More Delays! New Disability Claims Rules to Take Effect April 2, Says DOL

On April 2, 2018, significant changes to ERISA’s disability claims procedures will take effect. These new rules will require all ERISA-covered plans which provide disability benefits to make significant modifications to the...more

Seyfarth Shaw LLP

DOL’s New Disability Plan Claims Regulations To Become Effective

Seyfarth Shaw LLP on

The Department of Labor’s new regulations governing disability claims and appeals published on December 19, 2016 will go into effect on April 1, 2018, as announced by the DOL on January 5, 2018. ...more

Hogan Lovells

New anti-money laundering regulations: action for pension scheme trustees - Updated December 2017

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Pension scheme trustees should be aware of requirements under new money laundering regulations to record information and, in some cases, to give the information to third parties and to register the information with HMRC. ...more

Eversheds Sutherland (US) LLP

Partnering Perspectives - Fall 2017

With the US poised to decrease regulation and the outcome of Brexit unknown, multinational institutions face a great deal of unpredictability in the regulatory landscape. In this edition of Partnering Perspectives, we look at...more

Franczek P.C.

Significant Changes Proposed for Employee Benefit Plan Audit Reports

Franczek P.C. on

Under ERISA, retirement plans and self-insured welfare plans with 100 or more participants (measured as of the beginning of the plan year) are generally required to conduct annual audits, and to include the audit reports with...more

Hogan Lovells

New anti-money laundering regulations: action for pension scheme trustees

Hogan Lovells on

Pension scheme trustees should be aware of requirements under new money laundering regulations to record information and, in some cases, to give the information to third parties and to register the information with HMRC. ...more

Ballard Spahr LLP

Investment Management Update - March 2016

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. SEC, FINRA...more

Ballard Spahr LLP

Investment Management Update - October 2015

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more

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