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Retirement Plan › Enforcement

Faegre Drinker Biddle & Reath LLP

Things I Worry About (9): FINRA Enforcement and Senior Investors

Faegre Drinker Biddle & Reath LLP on

Among other things, FINRA is focusing on services and recommendations by broker-dealers and their registered representatives to retirees, senior investors and investors with diminished capacity. The Report has one part...more

Verrill

DOL Announces Temporary Enforcement Policy Regarding Transfer of Small Retirement Benefit Payments of Missing Participants to...

Verrill on

Retirement plan fiduciaries have a new option for handling small benefit payments owed to missing participants and beneficiaries thanks to a temporary enforcement policy announced by the Department of Labor (“DOL”) earlier...more

Kohrman Jackson & Krantz LLP

Court Ruling in Ohio Highlights Evolving Non-Compete and Non-Solicit Landscape

Kohrman Jackson & Krantz LLP on

As the Federal Trade Commission’s Non-Compete Rule is appealed through the federal courts, a ruling from a court in Cleveland, Ohio, exemplifies how certain courts have recently approached non-compete and non-solicitation...more

Mintz

Oklahoma Judge Temporarily Blocks Law Penalizing Companies Engaged in Fossil Fuel Boycott

Mintz on

Earlier this week, a state court judge in Oklahoma issued a temporary restraining order that blocks--for now--enforcement of an Oklahoma law that deprives companies deemed to boycott the fossil fuel industry of the ability to...more

Proskauer Rose LLP

Individual Arbitration of ERISA Breach of Fiduciary Duty Claims – Is it Possible and, if So, Is It Worth It?

Proskauer Rose LLP on

As plan sponsors and fiduciaries cope with the increased volume of class action Employee Retirement Income Security Act (ERISA) lawsuits, some have considered the prospects of reducing their exposure through arbitration...more

Farella Braun + Martel LLP

New Laws and Compliance Updates for California Employers in 2023

Farella Braun + Martel LLP on

California has passed several new or amended employment laws covering topics ranging from off-duty marijuana use, reproductive rights, California Family Rights Act, COVID-19, criminal law and the workplace, new avenues of...more

Proskauer - The Capital Commitment

2022 SEC Enforcement Results – Takeaways for Fund Managers

Proskauer - The Capital Commitment on

Yesterday the SEC’s Division of Enforcement announced its Enforcement Results for Fiscal Year 2022, and there are a few key takeaways for fund managers. The Commission brought 760 total enforcement actions in FY 2022,...more

McDermott Will & Schulte

Weekly IRS Roundup October 31 – November 4, 2022

McDermott Will & Schulte on

Presented below is our summary of significant Internal Revenue Service (IRS) guidance and relevant tax matters for the week of October 31, 2022 – November 4, 2022....more

Foley & Lardner LLP

401(k) Compliance Check #5: Keeping 401(k) Participants Out of the Lost and Found Box

Foley & Lardner LLP on

In last month’s 401(k) Compliance Check, we discussed the variety of typical notices that a 401(k) plan must send to plan participants. In this month’s Compliance Check, we focus on the issue of how to handle a situation...more

Eversheds Sutherland (US) LLP

DOL extends temporary enforcement policy for conflicted fiduciaries, delays rollover enforcement

Eversheds Sutherland (US) LLP on

In Field Assistance Bulleting 2021-02, published on October 25, 2021, the US Department of Labor announced with respect to its Fiduciary Rule 3.0 that: ..The temporary ERISA enforcement policy for conflicted fiduciary...more

Dickinson Wright

DOL Extends Deadline For Providing Annual Comparative Chart Of Investment Alternatives In Participant-Directed Individual Account...

Dickinson Wright on

On July 22, 2013, the DOL announced a temporary enforcement policy that provides the administrators of individual account retirement plans such as 40 (k) or 403(b) plans some additional flexibility regarding when they have to...more

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