Susan M. Camillo

Susan M. Camillo

Dechert LLP

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The New DOL Fiduciary Rule: Impact on Mutual Fund Distribution

The Department of Labor (DOL) has issued the final version of its “investment advice” regulation (Final Rule), which is widely expected to impact significantly the financial services industry, including registered investment...more

8/30/2016 - 401k Best Interest Contract Exemptions Broker-Dealer Distribution Rules DOL ERISA Fiduciary Rule Final Rules Financial Adviser Financial Services Industry IRA Mutual Funds Registered Investment Companies (RICs)

More Egregious Aggregation Under ERISA in the Sun Capital Partners Case? The District Court Goes Down Yet Another Road

The recent opinion by the U.S. District Court for the District of Massachusetts on remand from the U.S. Court of Appeals for the First Circuit in the Sun Capital Partners case may be troubling to private equity funds and...more

5/31/2016 - ERISA Multiemployer Plan Partnership-in-Fact PBGC Pensions Popular Private Equity Funds Sun Capital Partners Teamsters Withdrawal Liability

The Brave New Fiduciary World Has Arrived – The DOL Tries to Find a More Ideal Balance in the Final “Investment Advice” Rules

The U.S. Department of Labor (the “DOL”) on April 6, 2016 released the final version of its “investment advice” regulation and accompanying prohibited transaction exemptions, a highly-anticipated milestone that is the...more

5/27/2016 - Benefit Plan Sponsors Best Interest Contract Exemptions Brokers Conflicts of Interest DOL ERISA Fiduciary Duty Final Rules Investment Adviser IRA Retirement Plan

The Brave New Fiduciary World Has Arrived - Has the Department of Labor Found a More Ideal Balance?

For the past several years, the U.S. Department of Labor (the “DOL”) has been in the process of revising the “investment advice” regulations that govern “fiduciary” status under the Employee Retirement Income Security Act of...more

4/7/2016 - 401k Best Interest Contract Exemptions Broker-Dealer Conflicts of Interest DOL ERISA Fiduciary Duty Investment Adviser IRA IRS

Some Limited Trouble with Tibble? Part II –Supreme Court Decides Excessive-Fee Case Involving 401(k) Plan

Earlier this week, the U.S. Supreme Court unanimously decided the case of Tibble v. Edison International. In Tibble, the Court held that the statute of limitations under the Employee Retirement Income Security Act of 1974...more

5/23/2015 - 401k Breach of Duty Duty to Monitor ERISA Fiduciary Duty Retirement Plan SCOTUS Statute of Limitations Tibble v Edison Int

The DOL Seeks an Ideal Balance in a Brave New World of “Investment Advice” Under ERISA

The U.S. Department of Labor (the “DOL”) on April 14, 2015 issued the long-awaited re-proposal (the “2015 Proposed Regulations”) of the regulations defining “investment advice” in connection with the “fiduciary” rules under...more

4/22/2015 - Brokers Conflicts of Interest DOL ERISA Fiduciary Duty Investment Adviser IRA Proposed Regulation Retirement Plan

U.S. Department of Labor Grace-fully Extends Disclosure Deadline by Two Months for Participant-Directed Retirement Plans

The United States Department of Labor (the “DOL”) announced on March 18, 2015, a “direct” final rule (the “Final Rule”) extending the time in which annual disclosures must be provided by fiduciaries of participant-directed...more

4/8/2015 - Disclosure Requirements DOL Filing Deadlines Grace Period Participant-Directed Plans Retirement Plan Time Extensions

Department of Labor Opens the Door to Questioning Brokerage Windows Under 401(k) Plans

A request for information ("RFI") by the U.S. Department of Labor ("DOL") was published on August 21, 2014 regarding the use of so-called "brokerage windows" under retirement plans, such as many Section 401(k) plans, that...more

8/28/2014 - 401k DOL Employee Benefits Request For Information Retirement Retirement Plan

Lawsuit Regarding Computer-Generated Advice to 401(k) Participants Revs Up Against Financial Engines

Last week, in a complaint dated August 8, 2014, plaintiffs commenced a lawsuit in the US District Court for the Eastern District of Texas against Financial Engines, Inc. and Financial Engines Advisors L.L.C. asserting a...more

8/12/2014 - 401k Financial Institutions Patent Infringement Patent Litigation Patents Popular Retirement Plan

Let Their Summary Be Your Guide - U.S. Department of Labor Proposes Fee-Disclosure Guide Requirements Under ERISA

Section 408(b)(2) of the Employee Retirement Income Security Act of 1974 ("ERISA") provides an exemption from the “prohibited transaction” provisions of ERISA for certain compensation arrangements with employee benefit plans....more

3/26/2014 - Disclosure Requirements DOL ERISA Fees

Maybe Not Such a Bad Actor – Department of Labor Clarifies Anti-Criminal Rule Under ERISA Rules

The U.S. Department of Labor (the “Department”) on November 1, 2013 issued Advisory Opinion 2013-05A (the “Opinion”) concerning the application of certain anti-criminal provisions under the Employee Retirement Income Security...more

11/11/2013 - Convictions DOL ERISA QPAM

Sharing the Wealth – Department of Labor Clarifies Treatment of Revenue Sharing Under ERISA

The U.S. Department of Labor (the “DOL”) recently issued Advisory Opinion 2013-03A (the “Opinion”), which addresses implications under the Employee Retirement Income Security Act of 1974 (“ERISA”) surrounding certain...more

7/15/2013 - 401k DOL ERISA Revenue Sharing

401(k) Plans—Potential Commodity Pool Issues in the United States

Under the rules of the Commodity Futures Trading Commission (“CFTC”), certain collective investment vehicles and other entities that, directly or indirectly, invest in “commodity interests” may be “commodity pools” whose...more

2/28/2013 - 401k CFTC Commodity Pool CPO NFA Participant-Directed Plans Retirement Plan

Swapping Uncertainty for Clarity – U.S. Department of Labor Issues ERISA Opinion on Swaps

Much of the investment capital in the U.S. market is in retirement plans subject to the Employee Retirement Income Security Act of 1974 (“ERISA”). Over the years, an important element of a number of plans’ investment...more

2/15/2013 - Derivatives Dodd-Frank DOL ERISA Fiduciary Duty QPAM Swaps

Department of Labor Clarifies Interpretation of “Related” Under the QPAM Exemption

The U.S. Department of Labor (the “DOL”) recently issued an information letter, dated November 9, 2012 (the “Information Letter”), in which it confirms that, for all purposes of determining what parties are “related” to a...more

11/30/2012 - Asset Management DOL ERISA

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