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401k › Sarbanes-Oxley

Mintz - Employment, Labor & Benefits...

Lights Out for a 401(k) Investment Fund? Don't Forget the Blackout Notice Rules.

Mintz - Employment, Labor & Benefits... on

One of your company’s 401(k) investment fund options is underperforming. Or, perhaps the fund is no longer appropriate for your employees. Or, perhaps a fund’s wildly successful fund manager has jumped ship to another fund...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

In July 2014, the SEC settled the previously reported proceeding involving Chariot Advisors, and its former owner, Elliott Shifman, concerning charges of violating and aiding and abetting the violation of Section 15(c) of the...more

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