Austin Lilling

Austin Lilling

Katten Muchin Rosenman LLP

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DOL Issues (Some) Additional Guidance on the Fiduciary Investment Advice Rule and Best Interest Contract Exemption

The US Department of Labor (DOL) has issued its first set of FAQs under the fiduciary investment advice rule (the “Rule”) and related prohibited transaction exemptions. In general, the Rule provides that parties providing...more

11/21/2016 - Best Interest Contract Exemptions Broker-Dealer Conflicts of Interest DOL ERISA Excessive Fees Fiduciary Duty Fiduciary Rule Financial Institutions Grandfathered Obligations Investment Adviser IRA Retirement Plan

Public Company Sanctioned by SEC for Including Illegal Anti-Whistleblower Provisions in Severance Agreements

In a speech on April 30, 2015. Securities and Exchange Commission (SEC) Chair Mary Jo White noted that... Please see full Advisory below for more information....more

8/17/2016 - Enforcement Actions SEC Securities Exchange Act Severance Agreements Whistleblower Awards

Proposed Treasury Regulations Provide Additional Flexibility, Clarity and Planning Opportunities to Sponsors of Deferred...

The IRS recently issued proposed regulations under Internal Revenue Code Section 457 that address, among other things, the interplay between Code Section 457(f) and Code Section 409A. Additionally, the IRS issued clarifying...more

8/4/2016 - Deferred Compensation Forfeiture Income Taxes Internal Revenue Code (IRC) IRS Proposed Regulation Section 409A Section 457(f) Severance Agreements U.S. Treasury Vesting

Private Equity Fund Sponsors' Risk for ERISA Unfunded Pension Liability Grows

On March 28, the US District Court for the District of Massachusetts held that, under the Employee Retirement Income Security Act of 1974 (ERISA), two private equity funds (1) were engaged in a trade or business, and (2) had...more

4/14/2016 - ERISA Multiemployer Plan PBGC Pensions Private Equity Funds Sun Capital Partners Withdrawal Liability

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