Over 8,000 stocks trade on American stock exchanges, but billions of dollars in daily trades in these listed stocks and 12,000 more unlisted (non-exchange-traded) stocks occur outside of an exchange in Over-The-Counter...more
2/28/2025
/ Compensation & Benefits ,
Department of Justice (DOJ) ,
Department of Labor (DOL) ,
EBSA ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement Actions ,
Executive Compensation ,
Fiduciary Duty ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Securities Regulation
In the prior article we discussed the reasoning behind creation of a health and welfare committee to oversee administration of the health and welfare plans. In creating a charter, a plan sponsor will need to decide whether to...more
1/28/2025
/ Benefit Plan Sponsors ,
Compensation & Benefits ,
Department of Labor (DOL) ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Executive Compensation ,
Fiduciary Duty ,
Health Insurance ,
Mental Health ,
Reporting Requirements ,
Required Forms ,
Retirement Plan
This week we move away from the world of the standard retirement or health and welfare plans and into the world of executive compensation. Executive compensation arrangements provide a company with a highly flexible benefit...more
In the past two weeks, we have presented a few items that plan sponsors can review in hopes of curbing common employee benefits and executive compensation errors. This week in our Employee Retirement Income Security Act of...more