Searching Content indexed under Finance and Banking by Paul Borden ordered by Published Date Descending.
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DOL Issues Additional Guidance On Fiduciary Rule
On January 13, 2017, the U.S. Department of Labor ("DOL") issued a second set of guidance on its new fiduciary rules, which are scheduled to become effective on April 10, 2017.
United States
31 Jan 2017
Structured Thoughts: Volume 7, Issue 8 August 11, 2016
The U.K.'s recent referendum to withdraw from the European Union has affected virtually all segments of the financial industry. The structured products area is no exception.
United States
12 Aug 2016
Implications Of The DOL Fiduciary Rule For Structured Products
On April 6, 2016, the Department of Labor ("DOL") issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
16 May 2016
Structured Thoughts: News For The Financial Services Community, Special Issue
On April 6, 2016, the Department of Labor issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account.
United States
9 May 2016
Final Department Of Labor Fiduciary Regulations Under ERISA
DOL issued its long-anticipated final regulation defining who is a fiduciary as a result of giving investment advice to plans subject to ERISA, to participants or beneficiaries of these plans, or to IRAs.
United States
14 Apr 2016
Department Of Labor Clarifies ERISA Fiduciary Requirements With Respect To Economically Targeted Investments And Environmental, Social, And Governance Goals
Last month, the Department of Labor (the "Department") issued an Interpretive Bulletin 2015-011 (the "Bulletin") clarifying the extent to which the Employee Retirement Income Security Act of 1974...
United States
24 Nov 2015
Ruling Highlights Importance Of Fiduciary Process Surrounding 401(K) Plan Fees And Services
On March 31, 2012, the U.S. District Court for the Western District of Missouri awarded plaintiffs more than $35 million in a class action suit over certain breaches of duty related to 401(k) plan expenses.
United States
15 Jun 2012
Economic Stabilization Act: Employee Benefits And Executive Compensation
The recently enacted Economic Stabilization Act of 2008 (the “Act”) contains a number of significant employee benefits and executive compensation provisions, some that apply to employee benefit plans generally, and some that apply only to the executive compensation arrangements of Financial Institutions taking advantage of the Troubled Asset Relief Program (“TARP”) offered under the Act.
United States
8 Oct 2008
IRS Issues Final Section 409A Regulations
On April 10, after keeping the executive compensation community in suspense for the better part of a year, the IRS issued its final regulations under Section 409A of the Internal Revenue Code of 1986, as amended (the “Code”).
United States
9 May 2007
Tax Issues Arising Out of Stock Options Back-Dating Investigations
As the news reports of back-dating of stock options continue unabated, companies who may be facing this problem should be aware of several potential Federal income tax issues.
United States
27 Jun 2006
Annual Reporting Obligation for Incentive Stock Option Exercises
This is a reminder that annual information statements must be delivered to all employees that exercised incentive stock options (“ISOs”) during the last calendar year. An employer is required to deliver an information statement to each employee (who exercised an ISO) no later than January 31 of the calendar year following the year in which the ISO was exercised.
United States
11 Jan 2006
HIPAA Gets Flexible: The HIPAA Compliance Deadline for Flexible Benefit Plans Is Approaching
Over the past year, employers have been assessing the impact of the privacy regulations issued under the Health Insurance Portability and Accountability Act of 1996 ("HIPAA") on the operations of their health plans. For many health plans, compliance with these regulations did not require significant efforts, and the initial deadline—April 14, 2003—passed without incident.
United States
26 Mar 2004
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