Daniel Kleinman

Daniel Kleinman

Morgan Lewis

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DOL Sends Fiduciary Rule to OMB for Review

DOL has indicated that the final rule will be released in the first half of the year. The US Department of Labor (DOL) sent its final Conflict of Interest Rule—Investment Advice (with related exemptions and amendments to...more

1/29/2016 - Broker-Dealer Conflicts of Interest DOL ERISA Fiduciary Duty Final Rules OMB Rulemaking Process

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

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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