Stephen Kraus

Stephen Kraus

Carlton Fields

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DOL Announces New Enforcement Policy on BIC Arbitration Limitation Class Actions

In order for fiduciaries to receive compensation that varies based on their investment advice (e.g., commissions) or from third parties in connection with their advice (e.g., revenue sharing), they must comply with a...more

9/1/2017  /  Arbitration , Best Interest Contract Exemptions , Class Action , Class Action Arbitration Waivers , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Exemptions , Fiduciary Duty , Investment Adviser , Prohibited Transactions
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