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Clues That There are Problems With A 401(k) Plan Provider

by Ary Rosenbaum on

When it comes to illnesses and diseases, there are usually warning signs out there. Whether you can come out healthy from a debilitating illness or disease is dependent on whether you can tell the warning signs. I’ve seen...more

In Case You Missed It: Launch Links - August, 2017

by WilmerHale on

Some interesting links we found across the web this week: Congratulations, Your Startup Is Profitable! Now What? Becoming cashflow positive can be exciting and emboldening....more

Mistakes An Employer Should Avoid Starting A 401(k) Plan

by Ary Rosenbaum on

I’m a firm believer that you need to get off on the right foot if we start something new. Otherwise, you have tough time recovering. When I talk about getting off on the wrong foot, I always remember wanting to get involved...more

Scottish limited partnerships and pension scheme funding: action needed by trustees and employers?

by Hogan Lovells on

From 24 July 2017, Scottish limited partnerships are required to register details of "persons with significant control" (PSCs) over the partnership and "relevant legal entities" (RLEs) with Companies House. For this...more

Popular Reads on JD Supra

by JD Supra Perspectives on

A recap of popular reads published on JD Supra last month, covering everything from FinTech to legal marijuana, from content marketing to tax reform....more

Marketing For Plan Providers: What It Can Do And What It Can’t

by Ary Rosenbaum on

For retirement plan providers, good marketing is essential. It’s so essential that there are marketing gurus out there that work in the retirement plan space to help providers out like Sheri Fitts and Rebecca Hourihan who do...more

401(k) Plan Sponsors: It’s Time To Wake Up

by Ary Rosenbaum on

Anytime I travel, I ask for a wake up call even though my IPhone will blare “Eat the Rich” by Aerosmith at the same time because you can never be too careful. When I travel around the country to speak, I want to make sure I...more

ESOPs in Iowa Gone Wrong

by Davis Brown Law Firm on

What is an ESOP? An Employee Stock Ownership Plan (ESOP) is an employee benefit plan designed to give company stock to its employees. ...more

A Review of Recent Whistleblower Developments

by Foley & Lardner LLP on

Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business. ...more

Day 14 of One Month to More Effective Internal Controls-What is COSO?

by Thomas Fox on

This week we turn our attention to COSO, with an introduction to the organization and its framework for internal controls. I will go through the internal controls and how they relate to compliance. Finally, I will end with a...more

Absurd Things About 401(k) Plans That Are Actually True

by Ary Rosenbaum on

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

IRS Retirement Plan Guidance Simplifies Pre-Approved Plans and Provides Roadmap for Individually Design Plan Conversion

by Benesch on

In Revenue Procedure 2017-41, the IRS makes significant changes to the procedures that it will use in reviewing and approving “pre-approved” retirement plans. The revenue procedure applies to almost all types qualified...more

Stuff in a 401(k) Plan That Doesn’t Look Right

by Ary Rosenbaum on

I always say that if things don’t look right even if they are, it will give people the impression that something is wrong. It’s similar to the expression of: “when there’s smoke, there’s fire.” A plan sponsor can’t afford to...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 6

Canadian Bail-in and TLAC Rules: Impact on Structured Notes Offered in the United States - Introduction - In June 2017, the Canadian government released draft regulations relating to “bail-in instruments” issued by...more

E.D. Pennsylvania Dismisses Dodd-Frank Whistleblower Claim After Plaintiff Fails to Qualify as a Whistleblower

On July 6, 2017, the U.S. District Court for the Eastern District of Pennsylvania dismissed a whistleblower claim after determining that the plaintiff did not qualify as a whistleblower under the Dodd-Frank Wall Street Reform...more

Tolling Securities Claims: “In No Event” Means ... What It Says

by Latham & Watkins LLP on

US Supreme Court: Securities Act’s 3-year statute of repose is not subject to equitable tolling, providing greater certainty to underwriters. Key Points: ..Case has significant implications for financial Institutions...more

Creating Content That Will “Click”

by Ary Rosenbaum on

In the old days, newspaper and television advertising were the way that you could get your message across to potential clients and sources for referrals. The only problem is that advertising was and is still cost prohibitive....more

Free Advice For 401(k) Plan Sponsors

by Ary Rosenbaum on

They always say there is no such thing as a free lunch because most of the time, free has strings attached. Even when it comes to retirement plans, that free plan review is usually a sales pitch by a retirement plan provider...more

Pitfalls a 401(k) Sponsor Can Avoid With Plan Providers

by Ary Rosenbaum on

While much of the focus concerning the liability of sponsoring a 401(k) plan is about plan expenses thanks to the many lawsuits filed against plan sponsors. However for most plan sponsors, the greatest liability they actually...more

Attention Retail Investors: The SEC Wants to Hear Your Views on the DOL’s Fiduciary Rule

In connection with the Department of Labor’s (“DOL”) fiduciary rule (the “Fiduciary Rule”), key provisions of which became applicable on June 9, 2017, SEC Chair Jay Clayton issued a public statement seeking retail investors’...more

Good Bets By A 401(k) Plan Sponsor That Will Limit Their Liability

by Ary Rosenbaum on

I’m not much of a betting man because I hate to lose. Some will say that playing the stock market is gambling, but shrewd, informed investment decisions usually do well in the end. Retirement plan sponsors can make bets that...more

TechConnect - Your Law Firm Link to Industry News - June 2017

by Mintz Levin on

Seniority Matters - There is little doubt that activity in the trading of secondary shares of private companies remains robust. Private companies are staying private longer and there seems to be an unlimited demand to buy...more

Compliance With the ERISA Fiduciary Advice Rule for Private Investment Fund Managers and Sponsors and Managed Account Advisers:...

The DOL's "fiduciary advice rule" (the "Rule") will take effect on June 9, 2017. The DOL has published FAQs on the implementation of the Rule applicable to the period between June 9th and December 31st (the "Transition...more

DOL revises guidance regarding exercise of shareholder rights by ERISA fiduciaries

by Thompson Coburn LLP on

At the end of 2016, the U.S. Department of Labor (DOL) issued Interpretive Bulletin 2016-1 which provides updated guidance regarding fiduciary obligations with respect to corporate stock held by employee benefit plans that...more

Structured Thoughts: News for the financial services community, Volume 8, Issue 5

Implementing the DOL Fiduciary Rule - Background - On June 9, 2017, key provisions of the fiduciary rule adopted by the Department of Labor (“DOL”) will become applicable for most broker-dealers, as well as many...more

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