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How To Operate A Retirement Plan Provider Practice on a Shoe String

I decided to start my own practice when another law firm stated that I could earn $150,000 if I brought them $450,000 billable work. I thought if I could bring in $450,000 of business, why would I need them and waste $300,000...more

Blog: Are Whistleblowers Just Out For The Big Bucks?

Given that, last year, the SEC awarded $30 million to one whistleblower alone, it looks like a pretty good gig. The previous year, the SEC awarded a whistleblower $14 million. That’s not too bad either....more

What Plan Sponsors Don’t Know, May Hurt Them

When I worked at a semi-prestigious law firm, one of the named partners (whose son was a respectable politician) asked me what my practice was. I told him it was ERISA, said he said didn’t know anything about it and walked...more

Proxy Access: Round 2 Begins

Shareholder proponent James McRitchie, who was successful in persuading the SEC to reconsider its no-action position with Whole Foods on proxy access, has hinted at his intentions for the upcoming proxy season, or at least...more

10 Things About Retirement Plans That Employers Should Know

A plan sponsor must delegate much of their duties to retirement plan providers. That may include third party administrators (TPAs), financial advisors, and ERISA attorneys. Despite the fact that retirement plan sponsors...more

Preliminary Planning for the 2016 Proxy Season

Some will want to start preliminary planning for the 2016 proxy season. It has been a bewildering year of developments, but most will be thankful that there are relatively few new rules that must be implemented at this time....more

SEC Proposes Rules to Broaden Executive Compensation “Clawback” Policies Required by Dodd-Frank

In an effort to increase executive accountability and promote higher quality financial reporting, the Securities and Exchange Commission (the “SEC”) issued proposed Rule 10D-1 for comment on July 1, 2015. The SEC issued the...more

Successful Strategies for Doing Business in Asia: Singapore (Updated)


Retirement Plan Provider Marketing Do’s and Don’ts

I never took a marketing course in college and I probably should have if I was going to go on my own and start a law practice. While I never have taken a marketing course, I’ve been pretty good at it considering you’re...more

SEC Adopts Final Pay Ratio Disclosure Rules

The Securities and Exchange Commission (SEC) has adopted final rules under the Dodd-Frank Wall Street and Consumer Protection Act (the Dodd-Frank Act) to require U.S. public companies to disclose the ratio of the annual total...more

SEC Adopts Final Pay Ratio Rules

The Securities and Exchange Commission (SEC) recently adopted final rules that will require most public companies to calculate and disclose a ratio that compares the annual total compensation of their “median employee” to...more

Alert: SEC Adopts Final Pay-Ratio Rule

On August 5, 2015, the SEC adopted a final rule to implement Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act, often referred to as the pay-ratio provision. The pay-ratio provision mandates...more

The Essential Plan Providers For A 401(k) Plan

When people are sick, especially debilitating illnesses or diseases, it’s natural for them to travel far and wide to get the best medical coverage possible. I live in Long Island, but my children were born in Manhattan...more

Pensions News - July 2015

Welcome to DLA Piper’s Pensions News publication in which we report on developments in pension legislation, guidance and case law, as well as keeping you up to speed on what to look out for in the coming months. This...more

SEC Adopts CEO Pay Ratio Disclosure Rules

The SEC recently adopted rules implementing Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”). Section 953(b) directs the SEC to expand current disclosure requirements to require...more

Absurd Things About 401(k) Plans That Are True

We drive on parkways and park on driveways. Cigarettes are sold in gas stations even though smoking is prohibited there. Fat chance and slim chance mean the same thing. Phonetic isn’t spelled the way it sounds. When it comes...more

SEC Adopts Pay Ratio Disclosure Rule

Overview of the Pay Ratio Rule: The Basic Rule - Reporting companies subject to the rule (Subject Companies) must disclose the ratio (pay ratio) for the most recent fiscal year of (a) the median of total...more

SEC Adopts Final CEO Pay Ratio Disclosure Rule

On August 5, 2015, the Securities and Exchange Commission adopted the final CEO pay ratio disclosure rule by a 3-2 vote. The final rule amends Item 402 of Regulation S-K, as required by Section 953(b) of the Dodd-Frank Wall...more

Executive Compensation Alert: SEC Issues Final CEO Pay Ratio Rule

On August 5, 2015, the Securities and Exchange Commission (the “SEC”) voted 3-2 to adopt the final “pay ratio” disclosure rule. This long-awaited, controversial rule is issued pursuant to Section 953(b) of the Dodd-Frank Wall...more

Stating the obvious about Mutual Fund Company TPAs

David Letterman once joked that there was a graph in USA Today that showed that 3 out of 4 Americans made up 75% of the population. Stating the obvious can be a waste of time. Speaking of stating the obvious, a study in the...more

SEC Adopts Final Rules Requiring Pay Ratio Disclosure

On August 5, 2015, the Securities and Exchange Commission adopted final rules mandating pay ratio disclosures pursuant to Section 953(b)(1) of the Dodd Frank Wall Street Reform and Consumer Protection Act. The rules add a new...more

SEC Adopts Pay Ratio Disclosure Rule

On August 5, 2015, the SEC, by a 3 to 2 vote, adopted the controversial “pay ratio rule,” which requires public companies to disclose the ratio of the annual total compensation of the chief executive officer (CEO) to the...more

There Is No Such Thing as Free 401(k) Administration

There is no such thing as the Easter Bunny, or the Tooth Fairy, or the Boogeyman. While we can laugh at it, it’s surprising to note that many plan sponsors still believe they pay nothing for 401(k) plan administration even in...more

ERISA: Clarity on When ERISA Applies to Working Owners of Small Companies

You probably already know that in small, wholly owned “mom and pop” businesses, benefits covering only the owners of the business may be exempt from ERISA....more

Ninth Circuit: Multiemployer Plan Calling Unpaid Contributions “Plan Assets” Does Not Make Persons Controlling Contribution...

The Ninth Circuit recently held that a multiemployer pension plan (MEP) cannot label unpaid contributions as “plan assets” so as to impose ERISA fiduciary status on persons controlling the payment of employer contributions to...more

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