Ruth Delaney

Ruth Delaney

K&L Gates LLP

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DOL Finalizes The ERISA Fiduciary Regulation -- What It Means For Your Business

In the face of controversy and following thousands of comments from market participants and lawmakers, the Department of Labor (“DOL”) has finalized sweeping changes to the definition of “fiduciary” under the Employee...more

4/28/2016 - 401k Best Interest Contract Exemptions Best Interest Standard Conflicts of Interest DOL Employee Benefits ERISA Fiduciary Duty Investment Adviser Retirement Plan

Questions & Answers on State and Local Variations on SEC Pay-to-Play Rule

Many states and municipalities have adopted laws and regulations that affect how investment managers may solicit investment advisory business, including investment in sponsored public and private funds, from the state...more

11/18/2013 - Investment Adviser Investment Advisers Act of 1940 Investment Management Lobbying Pay-To-Play Political Contributions SEC

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