Susan Krawczyk

Susan Krawczyk

Eversheds Sutherland (US) LLP

Contact
View Bio
RSS

Latest Posts › Retirement Plan

Share:

DOL open to innovative investments bringing private equities into defined contribution plans

On June 3, 2020, the US Department of Labor (DOL) issued an Information Letter reassuring plan fiduciaries that in appropriate circumstances, a professionally managed fund that contains a private equity component may be...more

6/18/2020  /  Benefit Plan Sponsors , Defined Benefit Plans , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Information Letters , Private Equity , Retirement Plan

The SEC’s new standard of conduct rules – application to retirement accounts

On June 5, 2019, the US Securities and Exchange Commission (SEC) adopted its Regulation Best Interest (Rule 15l-1 under the Securities Exchange Act of 1934), a rule that requires a broker-dealer registered with the SEC to act...more

8/12/2019  /  Broker-Dealer , Fiduciary Duty , Form CRS , Investment Adviser , Regulation Best Interest , Regulation BI , Retail Investors , Retirement Plan , Securities and Exchange Commission (SEC) , Standard of Conduct

Standards of conduct for investment professionals – overlapping protections for broker-dealer retirement customers

The legal standards for broker-dealer firms (BDs) and their representatives, particularly in the retirement market, continue to be in flux. BDs were among those most affected by the promulgation in 2016 of the Department of...more

10/16/2018  /  Best Interest Standard , Broker-Dealer , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Duty , Financial Industry Regulatory Authority (FINRA) , Internal Revenue Code (IRC) , Investment Adviser , Retirement Plan , Securities and Exchange Commission (SEC)

The Final Rule: Next Steps After Vacatur

The nationwide vacatur of the Department of Labor “investment advice” fiduciary definition and related exemptions by the US Court of Appeals for the Fifth Circuit on March 15, 2018, does not bring an end to the challenges...more

4/6/2018  /  Benefit Plan Sponsors , Best Interest Contract Exemptions , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Rule , Final Rules , Investment Adviser , Prohibited Transactions , Retirement Plan , Vacatur

The Final Rule: June 9 is the Launch Date After All

With its announcements of May 22, 2017, starting with an op-ed in The Wall Street Journal, the Department of Labor confirmed that, absent last-minute action in the courts or by Congress, its new “investment advice” fiduciary...more

5/30/2017  /  Best Interest Contract Exemptions , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Rule , Final Rules , Investment Adviser , Retirement Plan

The Final Rule: DOL Releases Additional FAQs Related to New Fiduciary Rule

The Department of Labor (DOL) has released two additional sets of FAQs providing guidance related to its final rule expanding the definition of fiduciary “investment advice” (the Final Rule) for purposes of the Employee...more

1/19/2017  /  Benefit Plan Sponsors , Best Interest Standard , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Duty , Final Rules , Investment Adviser , Retirement Plan
6 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide