Daniel Kleinman

Daniel Kleinman

Morgan Lewis

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DOL Proposes Amendment to Service Provider Fee Disclosure Regulation

Proposal would require certain service providers to furnish a separate disclosure guide. On March 11, the U.S. Department of Labor (DOL) issued a proposed amendment to its 2012 final regulations under section 408(b)(2)...more

3/18/2014 - Disclosure Requirements DOL ERISA Fees

FINRA and SEC to Focus on IRA Rollover Practices in 2014

Financial institutions should prepare for increased regulatory scrutiny. The Financial Industry Regulatory Authority (FINRA) and the U.S. Securities and Exchange Commission (SEC) released their examination priorities...more

2/7/2014 - FINRA IRA Rollovers SEC

DOL Clarifies Application of ERISA Rules to Cleared Swaps

New guidance defers to the Dodd-Frank/CFTC framework for regulating the swaps clearing process. On February 7, the U.S. Department of Labor (DOL) issued an advisory opinion on the application of the ERISA fiduciary rules...more

2/15/2013 - Benefit Plan Sponsors CFTC Clearing Members Derivatives Clearing Organizations Dodd-Frank DOL ERISA Fiduciary Duty Prohitibed Transactions Security-Based Swaps Swap Clearing Swaps

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