Amy Glynn

President, Pension Resource Institute

Amy Glynn is President and Founder of the Pension Resource Institute, a nationwide consulting firm helping organizations build and maintain compliant and competitive strategies in the ERISA marketplace. She is a graduate of Colgate University and is passionate about chocolate poodles and margaritas.

Posts by Amy Glynn

in ERISA Penalty Box Jul 30, 2013

ERISA 2013 Trends - Increased Enforcement, Confusion, Fear, Backlash

As we move into the second half of 2013, let’s take a look at some of the meaningful trends as the new ERISA regulatory requirements take hold. •June....More
in ERISA Penalty Box Apr 26, 2013

SEC 2013 Examination Focus on Retirement Plans Impact Analysis and Action Items

In addition to the registration risk factors identified above by the SEC, broker-dealers and registered investment advisors may want to consider the....More
in ERISA Penalty Box Sep 24, 2012

Findings against USI Advisors and Morgan Keegan Illuminate the Need for Global Written Policies and Procedures

With the regulators circling the waters on conflicts of interest and the information sharing arrangements that exist between the DOL and the SEC....More
in ERISA Penalty Box Sep 24, 2012

Findings against USI Advisors and Morgan Keegan Illuminate the Need for Global Written Policies and Procedures

With the regulators circling the waters on conflicts of interest and the information sharing arrangements that exist between the DOL and the SEC....More
in ERISA Penalty Box Aug 05, 2012

Ready or not ERISA people here comes the DOL!

The cases summarized below highlight the DOL’s commitment to ‘a rigorous enforcement of the law’ and underscore the need for competent guidance on....More
in ERISA Penalty Box Jul 22, 2012

Q and A Perspective on 408(b)(2) from cutting edge recordkeeper Ascensus

It has become increasingly more difficult for the casual advisor to effectively compete in this space, opening the door for the experienced advisor....More
in ERISA Penalty Box Jun 25, 2012

Q and A with top producer Stephanie Gallegos' and her "chill perspective" on 408(b)(2) and 404(a)

Q and A with top producer Stephanie Gallegos, an investment advisor representative with NFP Thorbahn in Boston, MA and her thoughts on the regulatory....More
in ERISA Penalty Box Jun 03, 2012

Welcome to the ERISA Penalty Box

IT IS 408(b)(2) and 404(a)(5) FREAK OUT TIME - ready or not DOL is coming!!....More
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