Labor & Employment Finance & Banking Business Organization

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Lies that 401(k) Plan Providers May Tell You

I’m a huge fan of Fleetwood Mac (the Stevie Nicks-Lindsey Buckingham years) and was able to see them twice on their last tour. One of my favorite songs of theirs is Little Lies. Christine McVie, who never gets the credit she...more

An Analysis of Nasdaq’s “Golden Leash” Disclosure Rule

On July 1, 2016, the Securities and Exchange Commission (SEC) approved, on an accelerated basis, Nasdaq’s new Rule 5250(b)(3), which requires Nasdaq-listed U.S. companies to publicly disclose any arrangements or agreements...more

Eighth Circuit Refuses to Open Golden Parachute for Bank Exec

A new decision from the Eighth Circuit Court of Appeals reaffirms the challenge presented by the Federal Deposit Insurance Corporation (FDIC) "golden parachute" prohibitions for boards of directors of banks in "troubled...more

Nasdaq Adopts “Golden Leash” Director Compensation Disclosure Requirement

The Nasdaq Stock Market LLC (Nasdaq) has adopted a new rule that will require each Nasdaq-listed company to publicly disclose compensation or other payments by third parties to any current director or nominee for director in...more

401(k) Plan Sponsors: Please Read This Article!

You’re a 401(k) plan sponsor and we understand that you’re busy running a business and talking about retirement plan issues is as exciting as watching paint dry. The problem is that paint drying won’t expose you to liability,...more

Good News! New 409A Regulations (Yes, Really!) – Part 2: Taking (and Giving) Stock

On the TV show Futurama, the aged proprietor of the delivery company Planet Express, Professor Hubert J. Farnsworth, had a habit of entering a room where the other characters were gathered and sharing his trademark line,...more

A Blueprint for Maintaining an Individually Designed Qualified Plan after the IRS’s Determination Letter Program Cutback

In Depth - On June 29, 2016, the Internal Revenue Service (IRS) officially sounded the death knell for the five-year remedial amendment cycle with its release of Revenue Procedure 2016-37. Effective January 1, 2017,...more

How To Have A Good 401(k) Plan After The Long Run

I’m a big fan of The Eagles and one of my favorite songs is the title track “The Long Run.” “You can go the distance. We'll find out in the long run.” While the song is really about love and relationships, I like it because...more

Brexit – What Now For Your Business

So, the UK has voted to leave the EU. Everyone has their own opinion and we’ve all seen the news reports and various viewpoints but what does this result mean for you in practical terms and where do we go from here? Orrick’s...more

How Retirement Plan Providers Can Deal With The Fiduciary Rule Change

At its prime, Blockbuster Video had 9,000 stores and was actually bought by Viacom in 1994 for $8.4 billion. Then some things called DVDs, Netflix, Redbox, and digital delivery caused Blockbuster to go out of business....more

Modifications to Code Section 409A Regulations

On June 22, 2016, the Internal Revenue Service published proposed regulations under Internal Revenue Code Section 409A, which applies to non-qualified deferred compensation plans and arrangements. The proposed regulations are...more

Hospitalitas Newsletter - Summer 2016

In this issue: - Controversial Overtime Rule Comes in For a Landing - What You Need to Know About Hospitality REITs - The Legal Implications of Restaurant-Designed House Brand Craft Beers - FDA Finalizes Revisions...more

The Future Is Now For 401(k) Plan Sponsors

When I was the head ERISA attorney at a New York based third party administrator (TPA), I left because I saw the future of the retirement plan business and I didn’t think this TPA was a part of it. I had issues with...more

Don’t Use Your Payroll Provider As Your 401(k) TPA

I’ve been writing articles for the past 6 years and the ones that are remembered the most are the ones about how it’s a bad idea for plan sponsors to use payroll providers as the third party administrators (TPAs) of their...more

New IRS Regulations Subject Certain Partners to Self-Employment Taxes

On May 3, 2016, the U.S. Department of the Treasury issued new temporary and proposed regulations (Temp. Treas. Reg § 301.7701-2T) addressing the tax treatment of partners of a partnership that is the sole owner of an entity...more

ERISA Fiduciaries: What The Numbers Really Mean

In the Golden Age of Boxing, there was one world champion. Whether it was Joe Louis or Rocky Marciano as the heavyweight kingpin or Sugar Ray Robinson as middleweight crown holder, you knew who was champion. There was one...more

The DOL’s New Fiduciary Rule: Capturing the Apparent Conflict at the “Moment of Rollover”

The US Department of Labor’s final fiduciary rule captures rollover, transfer and distribution recommendations to retirement investors. In essence, under the rule, a financial organization or adviser is acting as a fiduciary...more

Federal Agencies Release Joint Proposed Rule on Financial Institution Incentive-Based Compensation

Last month, consistent with their obligation under the Dodd-Frank Act, several federal agencies released for comment a joint proposed rule that would prohibit any incentive compensation that encourages inappropriate risk...more

Mind the (Pay) Gap: Investor Requests for Reports on Gender Pay Disparities Are on the Rise

According to media reports, this year several high-profile companies, including Apple, Facebook, and Intel, have received or responded to proposals from investors requesting shareholder votes on the issue of whether the...more

How to Communicate and Understand Retirement Plan Sponsors

Being a retirement plan provider isn’t just about selling services, it’s really about selling yourself and you can’t sell yourself properly if you can’t communicate with clients and potential plan clients. This article is...more

Structured Thoughts: News for the financial services community, Volume 7, Issue 6

Structured Notes Offered on an Agency Basis - In our last issue, we discussed the potential impact of the Department of Labor’s new rules on sales of structured products. In that article, we discussed some of the...more

PowerPoint Slides: Labor and Employment Issues for Investment Management Companies and Hedge Funds

Pepper partner Gregory J. Nowak hosted a webinar for West LegalEdcenter to discuss labor and employment issues for investment management companies and hedge funds. Mr. Nowak was joined by Pepper partner Richard J....more

Podcast on Labor and Employment Issues for Investment Management Companies and Hedge Funds

Pepper partner Gregory J. Nowak hosted a webinar for West LegalEdcenter to discuss labor and employment issues for investment management companies and hedge funds. Mr. Nowak was joined by Pepper partner Richard J....more

In Case You Missed It: Launch Links - May 2016 #3

Some interesting links we found across the web this week: - Don’t Expect New Crowdfunding Rules to Create a Startup Boom - Equity crowdfunding went live this week under the SEC’s recent rulemaking, but many...more

Take Two: Incentive-Based Payment Arrangements Rule Reappears

For a second time, federal banking regulators are seeking comment on a jointly proposed rule that would impose restrictions on incentive-based pay arrangements....more

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