Archive for Tag: Regulation

Apr 14, 2016

Is Greed Still Good? – Implications of the Proposed DOL Fiduciary Rule Change

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Last Wednesday the US Department of Labor (DOL) released a several hundred page ruling that essentially requires investment advisors who advise people on investments for their retirement accounts (IRAs, 401(k) plans, etc.) act in the client’s best interest – or at least to disclose potential conflicts. (You wouldn’t think it would take them hundreds of pages.) The DOL has been working on this since 2010. They did so under their authority for enforcing the Employee Retirement Income Security Act (ERISA) of 1974, although some believe they have overstepped their bounds and encroached on the SEC’s turf. Nevertheless, the Office of Management and Budget (OMB) has approved the rule and President Obama endorsed it.

Sep 1, 2010

Marlin Quoted in Deal Driver- Financial Services

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Today our managing partner Ken Marlin was quoted in a discussion of the the new Financial Reform Act by Monique Lewis for Deal Drivers -Financial Services. Financial Reform Act will push smaller banks to sell, while FDIC deals get tougher to do. As the Financial Reform Act is put into action, buyers and sellers will approach M&A cautiously. “There will be a lot of M&A activity but not in the next six months. Buyers still have options to merge via assisted deals with the Federal Deposit Insurance Corp (FDIC),” he added. In the past six months, the FDIC forced many…

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Apr 24, 2007

Ganging Up on Google

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Today our managing partner, Ken Marlin, was quoted discussing Google’s relationship with federal regulation by Robert Hof for Business Week. A phalanx of foes –– from eBay to search rivals and Uncle Sam –– is lining up to keep the search giant in check The family of Joan Miro had a bone to pick with Google. The search giant used some of his images in its Web–site logo on Apr. 20 –– until Miro’s family very publicly complained Google was violating the Spanish artist’s copyrights. The logo came down and the flap is already dying down. But other Google combatants…

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