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Investment Adviser › Fiduciary Duty › Employer Liability Issues

Bradley Arant Boult Cummings LLP

How to Protect Your ESOP from Lawsuits Over Cash Holdings

Bradley Arant Boult Cummings LLP on

At least four lawsuits have recently been filed against employee stock ownership plan (ESOP) fiduciaries alleging a failure to prudently invest cash held in the ESOP trust. While scrutiny of investments in company stock has...more

King & Spalding

DOL Proposes Broader ERISA Fiduciary Definition

King & Spalding on

In April, the Department of Labor (the “DOL”) issued controversial proposed regulations that would broaden the category of service providers who become fiduciaries under the Employee Retirement Income Security Act of 1974...more

Ballard Spahr LLP

Recent Investment Management Developments - June 2015

Ballard Spahr LLP on

In This Issue: - SEC Proposes Changes to Reporting and Disclosure Obligations for Investment Companies and Advisers - SEC Charges Hedge Fund Executives and External Auditor for Improper Disclosure of Expense...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Proactive Steps Retirement Plan Sponsors Should Take

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

Retirement plan sponsors have a lot of headaches and liability because of their role as plan fiduciaries. They can sit back and do nothing, thereby increasing their potential liability. They can also be proactive and take...more

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