Daniel Kleinman

Daniel Kleinman

Morgan Lewis

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DOL’s Proposal To Expand Fiduciary Definition Would Bring Many Service Providers Into Scope

As we previously reported, the US Department of Labor (DOL) released its reproposed rule “Definition of the Term ‘Fiduciary’; Conflict of Interest Rule—Investment Advice” on April 14. The initial deadline for comments on the...more

5/20/2015 - Conflicts of Interest DOL ERISA Fiduciary Duty Investment Adviser

Department of Labor Retirement Initiative Fails to Consider Current Regulatory Regime, which Comprehensively Protects Investors,...

We have prepared this white paper to address errant claims made in the Council of Economic Advisers’ (CEA) report, “The Effects of Conflicted Advice on Retirement Savings” (CEA Report), regarding perceived inadequacies in the...more

3/24/2015 - CEA DOL Investors Retirement Plan White Paper

DOL Sends Proposed Conflict of Interest Rule to OMB for Review

The White House backs a “fiduciary rule” for IRAs. The U.S. Department of Labor (DOL) has sent its proposed “Conflict of Interest Rule-Investment Advice” to the president’s Office of Management and Budget (OMB) for...more

3/5/2015 - Benefit Plan Sponsors Conflicts of Interest DOL ERISA IRA OMB Proposed Regulation Retirement Plan

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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