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1 Aug 2016, 9:42 pm
The Brain decision highlights the care that employee benefit plan sponsors, fiduciaries, advisors and service providers and their management must use when responding to allegations or other evidence of wrongdoing relating to an employee benefit plan or its administration, investigating and addressing alleged misconduct or other performance or disciplinary concerns involving parties whose report or involvement in investigations of ERISA or other misconduct could form the basis of a… [read post]
1 Aug 2016, 7:25 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
29 Jul 2016, 6:21 am
State officials are concerned with “pay-to-play” tactics in which bond counsel, underwriters, and financial advisors are offering to fund or provide campaign services in exchange for contracts to issue the bonds once they are approved by voters. [read post]
28 Jul 2016, 2:30 pm
Employers, insurers and other health plan sponsors or issuers (health plans), health care providers, healthcare clearinghouses (covered entities) and their business associates should reevaluate the adequacy of their practices and procedures for the protection of electronic protected health information (ePHI) on or accessible through laptops or other mobile devices in light of the $2.75 million penalty and other schooling the Department of Health and Human Services Office for Civil Rights… [read post]
27 Jul 2016, 1:27 pm
With respect to internal information, campaigns retain sensitive communications, such as emails between candidates, advisors and staff. [read post]
26 Jul 2016, 9:43 am
According to InvestmentNews, only about 12% of financial advisors have any type of disclosure event on their records. [read post]
26 Jul 2016, 6:30 am
Friends, family and other professional advisors are trustworthy sources. [read post]
22 Jul 2016, 12:31 pm
(As a side note on this issue specifically, a few weeks ago the House Financial Services Committee passed a bill that, if passed, would increase Rule 701’s threshold for providing certain disclosures for compensatory stock programs to $20 million and adjust it for inflation every five years). [read post]
22 Jul 2016, 11:01 am
No Expansion of SEC Examinations of Exempt Reporting Advisors. [read post]
22 Jul 2016, 9:48 am
Abrams is currently employed and registered with Ameriprise Financial Services, Inc., and works at the broker-dealer’s Marlton, New Jersey office, according to his publicly available BrokerCheck records maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
21 Jul 2016, 11:43 am
Bricker, as Interim Chief Accountant, will serve as the principal advisor to the Commission on accounting and auditing matters. [read post]
19 Jul 2016, 5:00 am
Using these portals, financial advisors could create reports that retrieved and organized customer data from the underlying database. [read post]
19 Jul 2016, 5:00 am
Using these portals, financial advisors could create reports that retrieved and organized customer data from the underlying database. [read post]
18 Jul 2016, 5:26 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
15 Jul 2016, 6:22 am
Gregory, Sidley Austin LLP, on Wednesday, July 13, 2016 Tags: Boards of Directors, Charter & bylaws, Institutional Investors, Ownership, Proxy access, Proxy voting, Shareholder proposals, Shareholder voting Taking the Ax to Corporate Accountability Posted by Gary Retelny, Institutional Shareholder Services, Inc., on Wednesday, July 13, 2016 Tags: Accountability, Fiduciary duties, Financial Services Committee, Institutional Investors, Institutional… [read post]
14 Jul 2016, 6:01 am
No matter what we do on trade, America is going to be mainly a service economy for the foreseeable future. [read post]
12 Jul 2016, 7:27 am
Delfino was previously employed by Ameriprise Advisor Services, Inc. from 2006 to 2009, Advest, Inc. from 2000 to 2006, and A.G. [read post]
11 Jul 2016, 6:30 am
Friends, family and other professional advisors are trustworthy sources. [read post]
11 Jul 2016, 3:52 am
The proposals were put forward as “poison pill riders” to a financial-services agencies appropriations bill for the federal budget year beginning October 1. [read post]
7 Jul 2016, 3:30 pm
Friends, family and other professional advisors are trustworthy sources. [read post]
