Gary Howell

Gary Howell

Katten Muchin Rosenman LLP

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DOL Issues (Some) Additional Guidance on the Fiduciary Investment Advice Rule and Best Interest Contract Exemption

The US Department of Labor (DOL) has issued its first set of FAQs under the fiduciary investment advice rule (the “Rule”) and related prohibited transaction exemptions. In general, the Rule provides that parties providing...more

11/21/2016 - Best Interest Contract Exemptions Broker-Dealer Conflicts of Interest DOL ERISA Excessive Fees Fiduciary Duty Fiduciary Rule Financial Institutions Grandfathered Obligations Investment Adviser IRA Retirement Plan

DOL Proposes to Revise Definition of “Fiduciary” Under ERISA

On April 20, the US Department of Labor (DOL) published a proposal to revise portions of the definition of a “fiduciary” under the Employee Retirement Income Security Act of 1974, as amended (ERISA) in the Federal Register....more

4/29/2015 - Benefit Plan Sponsors DOL ERISA Fiduciary Duty Investment Adviser Proposed Regulation Retirement Plan

DOL Issues Guidance for ERISA Plans to Engage in Cleared Swaps

On February 7, 2013, the US Department of Labor (DOL) issued Advisory Opinion 2013-01A (the “Advisory Opinion”), which provides guidance under the Employee Retirement Income Security Act of 1974 (ERISA) for employee benefit...more

2/26/2013 - CCPs CEA CFTC Clearing Members Dodd-Frank DOL ERISA QPAM Swap Clearing Swaps

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