Michael Richman

Michael Richman

Morgan Lewis

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DOL Releases First Wave of FAQs on Fiduciary Rule

The guidance is the first of three waves of FAQs. On October 27, the US Department of Labor (DOL) released a long-awaited frequently asked questions (FAQs) document regarding the fiduciary rule, as released on April 8,...more

10/28/2016 - Best Interest Contract Exemptions DOL Fiduciary Duty Financial Services Industry

Final DOL Fiduciary Rule—First Impressions

Final rule includes many changes and clarifications intended to address concerns raised about the proposal, but issues remain. The US Department of Labor (DOL) has released its final regulation “Definition of the Term...more

4/11/2016 - DOL Fiduciary Duty Final Rules Investment Adviser Retirement Plan

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 Issues New Guidance on Economically Targeted Investments

The guidance clarifies that environmental, social, and governance factors may be relevant to a plan fiduciary’s evaluation of an investment’s economic merits. The US Department of Labor (DOL) recently published an...more

11/6/2015 - DOL Economically Targeted Investments ERISA Fiduciary Duty New Guidance

DOL Clarifies Revenue Sharing Fiduciary Responsibility Issues

Advisory opinion on "plan asset" issue lays out factors for fiduciary consideration. On July 3, the U.S. Department of Labor (DOL) issued Advisory Opinion 2013-03A, which discusses whether a bookkeeping account for...more

7/19/2013 - Advisory Opinions Benefit Plan Sponsors DOL ERISA Fiduciary Duty Insurance Industry Revenue Sharing

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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