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15 Matching News Items

1.  #MeToo, Clawbacks and Executive Compensation in 2019: Has Anything Changed? (PDF)
Utz & Lattan, LLC Link to more items from this source
July 2, 2019
161-page presentation outline. "[To] know whether compensation is subject to clawback where an executive is terminated for sexual misconduct that constitutes 'cause,' one needs to know what the corporate clawback or recoupment policy says, and those policies are not commonly included in securities filings.... It seems reasonable to expect that over the next few years sexual harassment will increasingly be explicitly listed as 'cause' for purposes of determining whether a terminated executive must forfeit potential compensation."
2.  Multiple Employer Retirement Plans: A Petite Primer (PDF)
Utz & Lattan, LLC Link to more items from this source
Jan. 24, 2019
24 pages. Topics include: [1] Tax Code's Multiple Employer Plan rules: participation, vesting, exclusive benefit rule, Section 415 limitations, employer-by-employer determinations (especially nondiscrimination rules), disqualification of entire plan, funding and deduction rules, Section 413(b) collectively bargained plan rules; [2] Cooperative and Small Employer Charity Plans (CSEC Plans); [3] DOL's different understanding of what constitutes a single 'plan'; [4] Proposed DOL regulation: bona fide group or association of employers, bona fide Professional Employer Organization, working owners; [5] Would the DOL's proposed rule make a difference?
3.  Ethical Considerations for Employee Benefits Counselors (PDF)
Utz & Lattan, LLC Link to more items from this source
Jan. 24, 2019
69 pages. Topics: [1] The glory and peril of written advice; [2] Minutes: how much detail to include? [3] Attorney's retention of consultant: privilege for client's communications with consultant; [4] Preserving client confidentiality on listservs and online chat rooms; [5] Attorney-client privilege; [6] Work product doctrine.
4.  #MeToo: Sexual Harassment and Executive Compensation (PDF)
Utz & Lattan, LLC Link to more items from this source
June 14, 2018
10 pages. "Whether ... 2017 was a harbinger of an enduring change in employers' attitudes towards, and approaches in addressing, allegations of sexual harassment relating to key executives remains to be seen. If it is true that #TimesUp, and in particular if customers (and members of the public more generally) favor harsher treatment of executives engaged in sexual harassment or assault, compensation committees may find value in reflecting this new attitude in the structure of their companies' executive compensation programs and agreements."
5.  Privacy Risks Beyond HIPAA: Retirement and Other Non-Health Benefit Plans (PDF)
Utz & Lattan, LLC Link to more items from this source
Jan. 22, 2018
28 pages. "The day will come when a retirement plan fiduciary is held liable for a security or privacy breach.... [F]iduciaries of retirement and other non-health plans should begin now to bolster their processes for protecting participants' private information in the possession of plans, plan vendors, and the fiduciaries themselves.... [O]ne can imagine a day when courts will require fiduciaries to take carefully considered steps to reduce the risk of private information that can be used to identify participants being accessed by unauthorized parties or otherwise being misused."
6.  ERISA Fiduciary Update (PDF)
Utz & Lattan, LLC Link to more items from this source
Nov. 9, 2017
45 pages. Topics: [1] DOL Fiduciary Rule: Arbitration agreements and prohibition on waiving right to participate in class action; [2] Tibble v. Edison Int'l: The tab for choosing retail over institutional shares of mutual funds; [3] Health Plan TPAs as Fiduciaries: Fee disputes; [4] Cross-plan offsetting in health plans; [5] Attacks on arrangements between Financial Engines and recordkeepers; [6] The 'Vanguard' of fee, and other investment, litigation; [7] Surprise! Defendants win in Tatum v. R.J. Reynolds Tobacco Co.; [8] Proof of causation and burden-shifting in fiduciary breach cases; and [9] Standing: Defined benefit plan fiduciary claims.
7.  Using the New IRS Remedial Amendment Period Rules (PDF)
Utz & Lattan, LLC Link to more items from this source
Mar. 6, 2017
28 pages. "To properly consider the consequences of this effective elimination of the type of determination letter program ... it is important to understand when qualified retirement plans may be amended retroactively.... [If] an employer or other plan sponsor has unlimited ability to retroactively amend a plan, it becomes relatively unimportant whether the IRS will issue a determination letter saying the form of the plan appears consistent with the Tax Code requirements for qualified retirement plans."
8.  What Is a 'Gig'? Benefits for Unexpected Employees (PDF)
Utz & Lattan, LLC Link to more items from this source
Apr. 13, 2016
17 pages. "It is unclear to what degree, if any, the DOL Wage and Hour Division's more aggressive position ... on who constitutes an employee, and court decisions concerning who is an employee for purposes of the FLSA, NLRA, or state labor codes, will affect determinations of who is an employee for purposes of retirement plans, health insurance, or other employee benefit programs.... If a gig worker is an independent contractor, rather than an employee, his or her options for accessing retirement, health insurance, and the other benefits of the type employees sometimes enjoy would seem to be the set of options available to self-employed persons."
9.  Recent Employer Stock and Other Fiduciary Litigation (PDF)
Utz & Lattan, LLC Link to more items from this source
Mar. 7, 2016
43-page outline of March 4 presentation to the 2016 Plan Administrator Skills Workshop, Southwest Benefits Association. Includes detailed discussion of many recent employer stock cases, along with significant fiduciary litigation about retirement and health benefit plans.
10.  Internal Trustees of ESOPs (PDF)
Utz & Lattan, LLC Link to more items from this source
Aug. 25, 2015
86-page presentation outline. Topics include: [1] Sources of ESOP Trustee's Duties; [2] Internal v. External Trustee; [3] Legal Liability of Trustees; [4] Internal Trustee's Interaction with Company's Board of Directors; [5] Valuation of Company Stock; and [6] Payment of Expenses from Plan Assets.
11.  Ethical Considerations for Employee Benefits Attorneys (PDF)
Utz & Lattan, LLC Link to more items from this source
May 27, 2015
146-page text outline of presentation to the Employee Benefits Institute Workshop, University of Missouri-Kansas City School of Law. Topics include: [1] Who is the client? [2] Representing entities; [3] Representing multiple parties; [4] Attorney-client privilege; [5] Work product doctrine; [6] Handling settlement proceeds subject to subrogation claim; [7] Plan participants' ability to sue law firm for legal malpractice; [8] Law firm as fiduciary of client's plan; [9] Multijurisdictional Practice; and [10] Circular 230 Revisions.
12.  Settling Disputes with the Department of Labor (PDF)
Utz & Lattan, LLC Link to more items from this source
Apr. 13, 2015
107-page outline of presentation for American Law Institute. Topics include: [1] Do you really want to settle? [2] Settling litigation brought by the DOL: Section 502(l), Indemnification complications, and PTE 79-15; [3] Prohibited Transaction Exemptions when not settling with DOL: PTE 2003-39; Is a release of claims against a Party in Interest a Prohibited Transaction? [4] Whether to use VFCP: Covered transactions eligible for VFCP; Transactions eligible for PTE 2002-51; [5] Settling with parties other than DOL: Settling litigation, particularly class action litigation; Plan as plaintiff in class action litigation; and [6] EBSA website excerpts. Appendices include sample notices, settlement agreements, and closing letters, along with EBSA Examination Referral Checklists.
13.  Wellness Programs Under Attack: Is Yours Legal? (PDF)
Utz & Lattan, LLC Link to more items from this source
Jan. 20, 2015
73 slides from presentation to the Association of Corporate Counsel, Mid-America Chapter. Includes a detailed discussion of recent EEOC court challenges to employer wellness programs, ADA and GINA implications, and HIPAA "health factor nondiscrimination" considerations.
14.  Fiduciary Tune-Up (PDF)
Utz & Lattan, LLC Link to more items from this source
Nov. 13, 2014
65-page presentation outline. Topics include: [1] Does Dudenhoeffer change who should serve on a fiduciary committee? [2] What you should ask investment managers following the Western Asset Management Company (WAMCO) Settlement with the DOL; [3] Making sure investment consultants are subject to fiduciary standards; [4] Fiduciaries' ability to rely on advice of counsel: Clark v. Feder Semo & Bard, P.C.; [5] IRS emphasis on internal controls and what it means for fiduciaries; and [6] Rollovers: to whom are you giving access to terminating participants? [Also available: 106 presentation slides.]
15.  Employee Stock Ownership Plans: Legal and Regulatory Update (PDF)
Utz & Lattan, LLC Link to more items from this source
Sept. 5, 2014
37 pages. Detailed presentation outline covers: [1] Recent court decisions in ESOP participant litigation; [2] DOL litigation and settlements involving ESOPs; [3] Recent IRS Private Letter Rulings and Technical Advice Memos; and [4] Recent S-corp ESOP decisions.

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