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Penalties › Third Party Administrators

Polsinelli

Florida Regulatory Action Highlights Need for Insurers to Use Licensed TPAs

Polsinelli on

Key Takeaways: A Florida-based Health Maintenance Organization (HMO) was fined for contracting with a Third Party Administrator (TPA) that was not licensed in Florida, violating its statutory obligation to ensure...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Tales Of The TPAs: The Good, The Bad, And The Ugly

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

As I have always said, the most important 401(k) plan provider you can hire is a Third-Party Administrator (TPA). That’s because a TPA does so much work, and their incompetence can lead to you getting penalized or forcing you...more

Broker-Dealer Compliance + Regulation

Double-Check the Math: Advisers Should Not Provide Clients With Performance Data Created by Other Investment Managers Without...

Broker-Dealer Compliance + Regulation on

In a series of enforcement actions this week, the SEC made it clear that investment advisers need to substantiate the performance records of investment management firms they recommend to their clients. In these cases,...more

Polsinelli

California Division of Workers’ Compensation Takes Action Against TPAs and Will Increase Audits of TPAs in 2016

Polsinelli on

The Audit and Enforcement Unit of the California Division of Workers’ Compensation (DWC) issued a press release recently indicating it will be conducting more target audits in 2016 to address utilization review (UR)...more

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