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Compliance

January 13, 2017

SEC Names Retirement Investments Among 2017 Exam Priorities

Among the topline priorities for the Securities and Exchange Commission’s examination staff during 2017 will be “the services provided by public pension advisers” and an “expanding focus on senior investors and individuals investing for retirement.” 

January 04, 2017

Employer Stock Drop Suit Victory Upheld by D.C. Circuit

To appreciate the riskiness of a stock intimately involves its market valuation, and to argue that the ESOP fiduciaries should have been able to outguess the market’s valuation is inherently unfair absent special circumstance, such as fraud.