Tag: Compliance

First Eagle Investments hires senior director of consultant relations; Vanguard Group head of Europe announces retirement; Manulife names head of...

Broadridge names Kirkland to head of mutual fund regulatory unit; Standard brings in Orr to lead AI use across organization;...

A lawsuit against the Hess Corp. alleges Hess plan fiduciaries included target-date mutual funds instead of collective investment trusts in...

The Department of Labor keeps working to implement provisions of 2022’s SECURE 2.0 Act alongside further rules for retirement and...

Voya hires Harrell as regional vice president; MissionSquare names Whiting SVP, chief sales officer; CAPTRUST adds Leddy as chief compliance...

Experts from Groom Law Group and CAPTRUST answer questions concerning retirement plan administration and regulations.

Haase joins small business retirement plan provider; Vestwell hires Farmakis; PGIM appoints Carlino to newly created role; and more  

The plan provider aims to gain greater market share of retirement 401(k) plans and has debuted a starter product for...

Mid-year report finds there were fewer cases filed, as plaintiff law firms catch up on those they brought in 2022,...

The tax agency intends to use outreach and expanded exams over the next year to address compliance by companies with...

Ascensus expands NQDC sales team; The Standard promotes Angie Cuthill within individual annuities; Optima names Paul Fletcher head of its...

A federal judge dismissed all counts in the suit brought by a former 401(k) plan participant, but the plaintiff may...

The firm cited ‘technical’ issues in a letter of acceptance for overstating projections for 8.5 million accounts.

The university medical center’s retirement plan failed to disclose revenue sharing or float income and caused workers to pay excessive...

A former RIA founder, Curley will manage global financial services strategy.

The 3rd Circuit Court of Appeals upheld a District Court ruling that government plans are not covered by ERISA.

Alight’s expanded wellness programs allows employees’ families to join; ComplySci launches regulatory compliance guide for financial firms; Equitable adds volatility...

More than $500 million of the recoveries returned to defined benefit plan participants.

Cryptocurrency regulation is needed for the broad health of both financial markets and 401(k) investors, the CFTC chief warned senators. 

With final DOL ruling, plan sponsors can consider climate change and other ESG factors when selecting investments.