Great Lakes Pension Associates, Inc.
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Defined Contribution Account Manager Nova 401(k) Associates
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Fringe Benefit Group
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TPA Retirement Plan Consultant EPIC RPS (TPA/DPS)
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Pollard & Associates
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Defined Contributions Compliance Consultant Loren D. Stark Company (LDSCO)
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New York City District Council of Carpenters Benefit Funds
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Greenline Wealth Management
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Retirement Planners and Administrators (RPA)
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Regional Sales Director (West) July Business Services
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Retirement Solutions Specialists
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Senior Specialist 401k Recordkeeping T Bank N.A.
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July Business Services
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July Business Services
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Are You a 'Significant Risk-Taker' Under Dodd-Frank?
Winston & Strawn LLP [Guidance Overview] Apr. 27, 2016 "[B]eing labeled a 'significant risk-taker' in the new proposed rules under Dodd-Frank Act Section 956 just means you are subject to a mandatory compensation 'deferral' period during which up to 50% of your incentive-based compensation is subject to forfeiture or 'downward adjustment' (and after that, the compensation is subject to a clawback!). The definition of 'significant risk-taker' in the proposed rule is 20 pages long. It is intended to include 'covered persons' ... who are not 'senior executive officers' ... but are in the position to put a Level 1 or Level 2 covered institution at risk of material financial loss." |
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