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House Passes Encouraging Employee Ownership Act

On February 3, 2016, the House passed H.R. 1675, the Encouraging Employee Ownership Act of 2015. The bill directs the SEC to revise regulations to require an issuer to furnish investors with additional specified disclosures...more

Avoiding The “Bumps” Of Being A Retirement Plan Provider

I’m a big fan of business history and every successful company that has ever been founded has had a few bumps along the way. For example, Apple almost went out of business a few times when products like the Newton didn’t...more

Supreme Court Revisits Stock Drop Fiduciary Standards

In Amgen v. Harris, the Supreme Court for the second time considered whether the plan participants sufficiently stated a claim against the plan fiduciaries for breach of fiduciary duty under ERISA by continuing to provide...more

The Big 401(k) Issue Many Don’t Focus On

The fixation and discussion about plan expenses usually flares up when the stock market isn’t doing well. Two major corrections within a 10-year period (2000-2010) made fee disclosure regulations inevitable.  With the way the...more

eBook Doing Business in Massachusetts: A Guide to U.S. and Massachusetts Law for Non-U.S. Businesses

This guide is intended to provide foreign business-people with an introduction to the basic kinds of laws and regulations that affect the conduct of business in the United States, and particularly in The Commonwealth of...more

FASB Updates for 2016 Financial Statements Could Impact Permissible Adjustments under Code Section 162(m)

IRC Section 162(m) provides that a public company may not deduct annual compensation paid to a “covered employee” in excess of $1,000,000 per year, other than certain “qualified performance-based compensation.” For these...more

Saudi Arabia Update - January 2016

Legal Developments - Labor Law – weekends are not part of annual leave - The Saudi Arabian Labor Law provides that employees shall be entitled to 21 days of paid leave annually, to be increased to 25 days upon...more

Future Trends In 401(k) That A Plan Sponsor Should Be Aware Of

What was good yesterday might not be good today. There were cigarette ads in the 1930s that suggested that smoking had health benefits such as cutting down on colds. It would be about 30 years later that people would find out...more

SBA Considers Public Comments on Proposed Size Standard Increases to NAICS Codes 562910 and 541519

According to the pre-publication, the SBA will adopt most of the proposed changes with two key exceptions. The SBA is not increasing the Environmental Remediation Services (“ERS”) exception under NAICS 562910 from 500...more

Securities Law and Corporate Governance Developments: A Look Back at 2015 and a Preview of 2016

Initiatives by Congress, the Securities and Exchange Commission (SEC), activist shareholders, and federal and state courts from 2015 will reshape public company disclosure and policies, and offer new avenues for private...more

A Plan Sponsor’s Guide To Picking Retirement Plan Providers

Since I was about nine and saw it on HBO, one of my favorite movies has been Caddyshack. I loved Caddyshack years before I even liked golf and years before I was mature enough to get all the jokes. One of my favorite scenes...more

More Flexible and Efficient, with Emphasis on Stakeholder Protection: Taiwan Amends the Business Mergers and Acquisitions Act

On January 8, 2016, an amendment (the “Amendment”) to Taiwan’s Business Mergers and Acquisition Act (the “Act”) has become effective. Through this amendment, the government hopes to encourage M&A activities in Taiwan by...more

When You Should Fire Your Retirement Plan Providers

I am a huge Mets fan and a big fan of the 1986 Champion New York Mets. One of the biggest mistakes the Mets ever made was firing their manager Davey Johnson after several disappointing fin- ishes in 1987, 1988, and 1989....more

Testing the Limits of Bank Officer Accountability – The NYDFS AML Personal Liability Proposal

The New York Department of Financial Services (“NYDFS”) is currently soliciting public comment on a proposed regulation that would require certain NYDFS-regulated financial institutions (“Regulated Institutions”) and their...more

Deadline Approaching for Reporting 2015 ISO Exercises and ESPP Transfers

Section 6039 of the Internal Revenue Code requires corporations to provide information statements to employees (including former employees) and information filings to the IRS regarding exercises of incentive stock options...more

Creating ESOPs: 6 Essential Questions For Successful Employee Stock Ownership Plans

The Baby Boomer business owner has worked hard for a lifetime. The company is thriving. But retirement is in sight, and a big question looms: How do I convert a lifetime of hard work into a comfortable retirement income?...more

Reminder to Perform Annual ISO/ESPP Reporting in January 2016

As discussed in our December 16, 2010 blog article, the IRS issued final regulations in 2009 under Section 6039 of the Internal Revenue Code (the “Code”) that require Employers to annually furnish each employee who exercised...more

Do You Want To Be A 401(k) Financial Advisor? An Intro

Whether you’re financial advisor who is not in the 401(k) business and want to be in it or you’re the financial advisor who wants to dramatically increase their small book of business, this is the perfect time. With dramatic...more

Executive Compensation and Employee Benefits Alert: 2015 IRS Filing and Reporting Requirements for ISO Exercises and ESPP Stock...

This Client Alert is intended to remind you of certain year-end reporting requirements under Section 6039 of the Internal Revenue Code of 1986, as amended (the “Code”), with respect to stock issued to employees (or former...more

The Plan Sponsor Awakens

Like most of my generation, I have been a Star Wars fan since I first saw A New Hope when I was 5 in1977. I even liked the prequel trilogy (except for Jar Jar Binks). When they announced that there would be an Episode VII, I...more

Buyer Beware! Purchasers in Asset Sales Liable for Multiemployer Pension Plan Withdrawal Liability

Two recent appellate court decisions have made it easier for multiemployer pension plans to impose withdrawal liability on a purchaser in an asset deal. In Tsareff v. ManWeb Services, Inc., the Seventh Circuit expanded its...more

Corporate Communicator - Winter 2016: 2016 Annual Meeting Season

Dear clients and friends, We present our traditional year-end issue of Snell & Wilmer’s Corporate Communicator to help you prepare for the upcoming annual report and proxy season. This issue highlights SEC reporting and...more

ERISA Fiduciaries May Factor Climate Change Issues Into Economic Analysis of Investments

New guidance from the US Department of Labor (“DOL”) clarifies the role of environmental, social and governance issues (referred to as “ESG factors”) in investment decisions by ERISA fiduciaries. ERISA Interpretive Bulletin...more

SEC Adopts Pay Ratio Disclosure Rule

The SEC adopted a final rule in August of 2015 requiring companies to disclose the ratio of their CEOs’ compensation to that of the median compensation of their employees, which includes part-time, temporary and foreign...more

10 Liability Pitfalls That Retirement Plan Sponsors Should Avoid

Being a retirement plan fiduciary such as a plan sponsor or a plan trustee is like being a homeowner. Homeowners see their homes as a serious financial accomplishment and an important investment. Homeowners are unaware of the...more

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