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Employee Retirement Income Security Act (ERISA) › Registered Investment Advisors › Fiduciary Duty

SEC Compliance Consultants, Inc. (SEC³)

What Advisers Need to Know Now About Giving Rollover Advice after September 23, 2024

SEC Compliance Consultants, Inc. (SEC³) on

This article was originally published on Kitces.com, on May 15, 2024, and is available at at DoL’s Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now about Giving Rollover Advice After September...more

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (5): Discretionary Investment Management

Faegre Drinker Biddle & Reath LLP on

The US Department of Labor has released its package of proposed changes to the regulation defining nondiscretionary fiduciary advice and to the exemptions for conflicts and compensation for investment recommendations to...more

Faegre Drinker Biddle & Reath LLP

Florida Court Decision’s Impact on Rollover Advice

Faegre Drinker Biddle & Reath LLP on

The Department of Labor (the DOL) expanded its interpretation of fiduciary advice in its guidance issued in connection with Prohibited Transaction Exemption (PTE) 2020-02. As a result, many more broker-dealers and registered...more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

Some concerns that exist over 3(38)

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

One of the best developments in the retirement plan business over the last ten years is the proliferation of advisors serving as an ERISA §3(38) fiduciary. The idea that a plan sponsor can shift almost all of their liability...more

Mintz - Employment Viewpoints

The Department of Labor’s 2016 Final Fiduciary and Conflict of Interest Regulations: The Principal Transactions Exemption

Mintz - Employment Viewpoints on

This post continues our examination of the Department of Labor’s suite of final fiduciary and conflict of interest regulations. Our prior posts discussed the newly expanded definition of “investment advice fiduciary” and the...more

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