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Investment adviser convicted of defrauding employee benefit plan

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 30 2010

On April 16, the U.S. Attorney for the Eastern District of Michigan, together with the Regional Director for the Employee Benefits Security Administration (EBSA) and the Federal Bureau of Investigation’s Special Agent in Charge, announced the conviction of Anthony James for 14 criminal counts relating to his operation of a Ponzi scheme

DOL to revise definition of benefit plan "fiduciary"

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 23 2011

On September 19, the Employee Benefits Security Administration (EBSA) of the U.S. Department of Labor (DOL) announced its intention to revise and re-propose amendments to its definition of “fiduciary.”

DOL proposes rule defining “fiduciaries” of employee benefit plans

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 12 2010

The Employee Benefits Security Administration (EBSA) of the U.S. Department of Labor has proposed a rule to define more broadly the term “fiduciary.”

DOL adopts amendment to class exemption for QPAMs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 6 2010

On July 6, the Employee Benefits Security Administration (EBSA) of the U.S. Department of Labor (DOL) adopted an amendment to Prohibited Transaction Exemption (PTE) 84-14 that permits qualified professional asset managers (QPAMs) to act as QPAMs for their own employee benefit plans, or the plans of an affiliate, if certain additional conditions are met

DOL issues safe harbor rule for timely deposit of contributions to small plans

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 22 2010

Last week, the Department of Labor (DOL) published a final rule which allows employee benefit plans with fewer than 100 participants to comply with time limits for the segregation and deposit of participant contributions to employer-sponsored pension and welfare benefit plans