News & Analysis as of

Benefit Plan Sponsors › Registered Investment Advisors

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The problem with flat fee billing

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

When I was a law firm associate, my most painful part was filling out my timesheet. Trying to fill it out before I’d get in trouble with the powers that be was the worst part of the month. There has to be a better way to...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Some concerns that exist over 3(38)

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

One of the best developments in the retirement plan business over the last ten years is the proliferation of advisors serving as an ERISA §3(38) fiduciary. The idea that a plan sponsor can shift almost all of their liability...more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

Dechert LLP on

The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

Dechert LLP on

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

RIAs win one with Fiduciary Rule Delay

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

When it comes to standards, I know Kosher is Kosher. However, when it comes to meat, observant Jews now only eat Glatt Kosher meat. It’s a higher standard in the sense that it’s supposed to mean that there is a lack of...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - June 2016

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

How to Communicate and Understand Retirement Plan Sponsors. There is a method to it. Being a retirement plan provider isn't just about selling services, it's really about selling yourself and you can't sell yourself...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Rosenbaum Law Firm Review - May 2016

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

The New Fiduciary Rule: What It Means To Plan Sponsors - Bottom line: what does it mean? If you're a retirement plan sponsor and, unless you've been living under a rock, you've probably heard about the Department...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Advisors Advantage - April 2016

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

The Struggles Of Being A Retirement Plan Provider And How To Manage It. What you have to deal with. Being a retirement plan provider is like any other business in the sense that it has to be managed in a way...more

8 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide