Hartstein's Next Performance Will Be in Los AngelesMutualFundWire.comA 22-year veteran of the company, Hartstein ran a number of important functions at John Hancock Funds, including retail and institutional distribution, marketing, product development, product management, fund administration, technology, compliance and ...and more »

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Causeway announces addition of Keith Hartstein to Board of ManagersFort Mills TimesAt John Hancock, Mr. Hartstein was responsible for retail and institutional distribution, marketing, product development, product management, fund administration, technology, compliance and internal transfer agency. He was ... Established in 2001, Los ...

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"The Final Report explains the sample selection and analysis methods and provides the response to each question by percentage of plans, plan sponsors, or participants. It also includes stratified data based on plan size and a section on Automatic Contribution Arrangements. The findings will be used to gain a better understanding of the health and compliance behaviors of 401(k) plans and to better allocate IRS resources to foster voluntary 401(k) plan compliance." (ING)

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"At first reading, the ordering rule seems to indicate that employers can regularly resolve 415 violations in favor of the participants (i.e., make the full nonelective contribution and return elective deferrals). However, a closer reading of EPCRS indicates otherwise. A plan sponsor may self-correct an operational failure (including a 415 violation) only if the plan has practices and procedures reasonably designed to promote compliance." (SunGard Relius)

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Fidelity the target of new lawsuit over float income in 401(k) plansRetirement Income Journal (subscription)“Our practices are in compliance with ERISA and DOL guidelines,” a Fidelity spokeswoman said. “We believe that the practices described in the lawsuit are consistent with the law and fair to all parties.

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NAFCU Releases 2013 Credit Union Compliance GPSCUinsight.com (press release)As the nation's leading provider of retirement plan expertise, Ascensus delivers a full range of comprehensive solutions [...] read more ... Transamerica and its affiliated companies offer a wide array of innovative financial services and products with ...and more »

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ThinkEquity bankruptcy rattles loose an RIA, born ThinkTactical, of proven ...RIABizNew business cards, same building. When the dust settled, a new Crosspoint Capital Management was using TD Ameritrade Institutional as its primary custodian and it was using Sanctuary performance reporting, and strategic, operational, compliance and ...

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The linked page contains a downloadable poster showing regulatory limits for elective deferrals and catch-up contributions for 2013, and a 2013 calendar showing recurring compliance and notice requirements for qualified defined contribution plans. (The Vanguard Group, Inc.)

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"This year the IRS unofficially stated that, based on the results of the IRS' 2010 401(k) Compliance Questionnaire, it has begun a focused examination project of Section 401(k) safe harbor plans.... In particular the IRS is looking at plans that have failed to make the required safe harbor employer matching or nonelective contributions." (ING)

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"This information applies to defined contribution plans, such as qualified governmental plans (including 'grandfathered' 401(k) plans), qualified church plans that do not elect to be covered by ERISA ('non-electing church plans'), 403(b) plans, and section 457 plans that are not subject to Title I of ERISA. Every year, defined contribution plan sponsors should make sure their plans meet certain compliance requirements, including those listed below. This publication identifies the materials you need to review and will help you prepare for year-end." [Editor's note: includes descriptive list of administrative and testing issues.] (Prudential)

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