News & Analysis as of

Plan Administrators Benefit Plan Sponsors Investment

Stinson - Benefits Notes Blog

Managing Retirement Plan Litigation Risk – Know Your IPS

There are always plenty of new retirement plan investment performance and fee cases, and it’s hard for a plan sponsor, even one that is doing everything properly, to be assured that it won’t be the target of a lawsuit....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Don’t Fall For These 401(k) Plan Provider Gimmicks

A “sales gimmick” is a term that refers to a method a business employs to immediately generate demand for its product or service. I just bought Fan Fest tickets 6 months in advance because they were giving me a $30...more

Carlton Fields

Investment Adviser Settles SEC Charges After Data Breach

Carlton Fields on

Last week, the Securities and Exchange Commission (SEC) settled charges against a registered investment adviser for failing to comply with Rule 30(a) of Regulation S-P (17 C.F.R. § 248.30(a)) (“Safeguards Rule”). The...more

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