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Pullman & Comley - Labor, Employment and...

New IRS Pre-Examination Retirement Plan Compliance Program

Pullman & Comley - Labor, Employment and... on

The Internal Revenue Service recently announced a new pilot pre-examination retirement plan compliance program initiated in June.  If you are a plan sponsor, do not play ostrich should you receive an IRS Pre-Examination...more

Morgan Lewis - ML Benefits

More to Come from Department of Labor on ESG Factors? Executive Order, DOL Document Requests Suggest Yes

Morgan Lewis - ML Benefits on

A hot topic in the world of money management, including the management of assets in retirement plans, is the consideration of environmental, social, and governance (ESG) factors when evaluating investments....more

Carlton Fields

What’s Your Game Plan? Offensive or Defensive: Playing to Your Strengths [Expect Focus – October 2016]

Carlton Fields on

- AXA Prevails at First Post-Jones v. Harris Excessive Fee Trial - Potential Secondary Effects of Regulatory Examinations: Evidentiary Issues and Preclusion in Parallel Litigation - On The Horizon: Global...more

Ballard Spahr LLP

Investment Management Update

Ballard Spahr LLP on

Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

Broker-Dealer Compliance + Regulation

OCIE Launches Sweep Examination of BD/IA Retirement Investments

Broker-Dealer Compliance + Regulation on

The SEC’s Office of Compliance Inspections and Examinations (OCIE) is launching a sweep examination that will target the retirement-based savings activities of broker-dealers and investment advisers. The multi-year...more

Morrison & Foerster LLP

OCIE Publishes Exam Priorities for 2015

Morrison & Foerster LLP on

The National Exam Program of the SEC’s Office of Compliance Inspections and Examinations (OCIE) published its examination priorities for 2015 this week. (Last week, FINRA published its priorities, discussed here.) Many of the...more

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