While large financial institutions with significant expertise in retirement plan administration are widely expected to sponsor most pooled employer plans (PEPs), other firms (such as franchisors, gig economy employers, joint...more
This paper examines how a plan service provider (such as a trustee, record-keeper, broker-dealer, or investment adviser) can offer participant-level distribution and rollover guidance under the US Department of Labor’s...more
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
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 ,
Department of Labor (DOL) ,
Derivatives Clearing Organizations ,
Dodd-Frank ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Prohibited Transactions ,
Security-Based Swaps ,
Swap Clearing ,
Swaps