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Entries tagged “Client Alert”

Clarification Regarding the Interplay Between the DOL’s Plan Asset and Fiduciary Definition Regulations

Insight Thomas M. White Thomas M. White · June 21, 2017
If a plan investment in a vehicle is not covered by the plan asset regulation, is a person who recommends that investment a fiduciary to ERISA plans? Read more here > This clarification is a supplement of Mr. White's previous article: DOL’s New Fiduciary Definition and the Marketing of Hedge Funds The Department of

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Client Alert: DOL’s New Fiduciary Definition and the Marketing of Hedge Funds

Insight Thomas M. White Thomas M. White · June 09, 2017
The Department of Labor has adopted a modified definition of what investment advice makes a person an ERISA fiduciary.  The new definition is broader than the one it replaces and hedge fund managers need to be aware of the new running rules when they market their funds if fiduciary status is to be avoided. Learn more about this new rule's

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Client Alert: Confidentiality Clauses Can Cost You: SEC Issuing Fines for Inconsistency with Dodd-Frank Whistle Blower Protection Rules

Insight November 14, 2016
Recent SEC enforcements mean it’s time to reconsider the risks of including overbroad confidentiality clauses in employment agreements and other business documents of registrants (e.g., public companies, mutual funds, investment advisors, transfer agencies and broker dealers).  The 2010 Dodd-Frank Wall Street Reform and Consumer

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Client Alert: California Restricts Employment Agreements Containing Out-of-State Choice of Law and Venue Provisions

Insight Thomas M. White Thomas M. White · November 11, 2016

A new statute and several new restrictions on certain California employment agreements that may affect enterprises' operations.

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