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Read need-to-know updates, commentary, and analysis on Labor & Employment issues written by leading professionals.

The Word On The Street On What 401(k) Plan Sponsors May Need

by Ary Rosenbaum on

The greatest thing about the Internet is the distribution of information that people used to have to rely on an Encyclopedia or other reference materials to find out information on a specific topic. This is so true of...more

Never Hire Your Friends Or Family As Your Retirement Plan’s Financial Advisor

by Ary Rosenbaum on

I live in an unincorporated village in Nassau County called Oceanside. We have a school board there that doesn’t have issues about hiring friends and family for teaching positions and low paid aide positions. In fact, 3 out...more

A Call For A New Standard For Financial Advisors

by Ary Rosenbaum on

Over the last 10 years, there has certainly been a revolution among 401(k) financial advisors about the need and concern of good fiduciary practices for plan sponsors. The days of 401(k) financial advisors never showing up to...more

Helping Handbook for Those Affected by Northern California Wildfires 2017-2018

by Morrison & Foerster LLP on

This handbook provides an overview of some issues that individuals, families, and small businesses may face as a result of the wildfires, mudslides, and related disasters that hit Southern California in December 2017 and...more

Certain Information Statements for ISOs and ESPPs Due by January 31, 2018

by Snell & Wilmer on

As reported in Part 3 of our 2016 End of Year Plan Sponsor “To Do” List, Section 6039 of the Code requires employers to provide a written information statement to each employee or former employee and file information returns...more

The Most Avoidable Errors Of A 401(k) Plan Sponsor

by Ary Rosenbaum on

There are a lot of times where you’ll suffer a mishap because there are certain things beyond your control. However, there are many instances out there where a mishap occurs because you failed to do something so simple like...more

Deadline Approaching for Reporting 2017 ISO Exercises and ESPP Transfers

by Goodwin on

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

A Plan Sponsor’s Guide To Selecting Retirement Plan Providers

by Ary Rosenbaum on

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

Seventh Circuit Affirms Grant of Summary Judgment on Terminated CEO’s SOX And DFA Claims

Last week, the Seventh Circuit Court of Appeals held that a terminated CEO’s complaints about his board of directors’ managerial decisions did not qualify as protected whistleblowing under the Sarbanes-Oxley Act of 2002...more

Things That Plan Providers Don’t Tell You as a 401(k) Plan Sponsor

by Ary Rosenbaum on

When my wife and I bought our house, there were quite a few things that the previous owner forgot to tell us such as the fact they never bothered to pull the pipes from the dental office run by a previous owner 20 years...more

Tax Reform and Employee Benefits – What You Need to Know Now

by Foley & Lardner LLP on

As you have probably heard by now, the recently enacted Tax Cuts and Jobs Act (the Tax Reform Act) made significant changes to the Internal Revenue Code. With regard to executive compensation, the Tax Reform Act made widely...more

Whistleblower Risks at the Supreme Court

by NAVEX Global on

Later this year, the Supreme Court will rule on whether whistleblower protections under the Dodd-Frank Act apply only to people who report misconduct to the Securities and Exchange Commission (SEC). That is, people who report...more

Changes in the Tax Cuts and Jobs Act of 2017 that Impact Individual Taxpayers for Non-Business Items

by Stinson Leonard Street on

The Tax Cuts and Jobs Act of 2017 makes substantial changes to the income taxes of individuals. The Act's individual changes noted in the attached chart generally expire on January 1, 2026, and the speculation will...more

Time to Revisit Executive Compensation Arrangements in Light of Recent Tax Reform

by Womble Bond Dickinson on

The Tax Cuts and Jobs Act of 2017 (the “Act”) signed into law on December 22, 2017, will significantly impact many public company executive compensation plans and arrangements. Companies should take this opportunity to...more

Code Section 162(m) Changes – What You Should be Thinking About Now

by Foley & Lardner LLP on

The “Bottom Line” - Learn the new rules for who is a “covered employee” and keep track of these individuals because “once a covered employee, always a covered employee” Evaluate compensation arrangements and contracts...more

Plan Providers Should Encourage Participants To Rollover Assets

by Ary Rosenbaum on

There are so many issues in advising retirement plan sponsors in your role as a retirement plan provider that you may forget a thing or two that could help your clients and you in the long run. One facet of the business that...more

The JD Supra Top 50 - Popular Legal Topics in 2017

by JD Supra Perspectives on

A look at some of the most popular topics on JD Supra during all of 2017....more

Whether A Plan Sponsor Should Hire An ERISA §3(16) Administrator

by Ary Rosenbaum on

Running a business is a complicated activity. You have to be an expert in your field, service, or specialty. In order to get your work, there is a point where you will need to outsource some key employer functions such as...more

It Happened! Changes In The 401(k) Industry That Could Affect Your Plan

by Ary Rosenbaum on

I’ve been a boxing fan since I was a kid when Marvin Hagler, Larry Holmes, Aaron Pryor, Tommy Hearns, Sugar Ray Leonard, and Mike Tyson were the premier boxers. One of my favorite boxing moments was in 1994 when 45-year-old...more

Plan Sponsors Need To Deal With A Whole New 401(k) World

by Ary Rosenbaum on

I’ve been an ERISA attorney for over 19 years and 401(k) plans have dramatically changed because of law changes, technological change, and changes in the marketplace. The problem is that most plan sponsors are stuck back in...more

Examiners are Carefully Scrutinizing Financial Institutions’ Compensation Arrangements

by Ruder Ware on

It has come to our attention that some examiners have recently been carefully scrutinizing financial institutions’ employee compensation arrangements. Although it now appears unlikely that the proposed Dodd-Frank rules on...more

Retirement Plan Sponsors Can’t Afford To Be Cheap

by Ary Rosenbaum on

There is nothing wrong with being thrifty. You should never pay full price for something that you can get on a discount. Being thrifty is different from being cheap. Being cheap is about not wanting to pay for something just...more

Matters to Consider for the 2018 Annual Meeting and Reporting Season

Companies have important decisions to make as they prepare for their 2018 annual meeting and reporting season. We have prepared a checklist of key corporate governance, executive compensation and disclosure matters on which...more

How A Plan Provider Should Handle Employees

by Ary Rosenbaum on

I always say that the main reason that I don’t want to have employees is that I was an employee once too. An employee wants to get paid as much as possible and the employer wants to pay as little as possible. I have yet to...more

Financial Services Weekly News - November 2017 #4

by Goodwin on

Editor's Note - A Tale of Two Agencies. On November 27, Joseph M. Otting was sworn in as the 31st Comptroller of the Currency. Mr. Otting seamlessly succeeded Keith A. Noreika, who became Acting Comptroller in May 2017...more

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