W. Mark Smith

Eversheds Sutherland (US) LLP

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DOL extends temporary enforcement policy for conflicted fiduciaries, delays rollover enforcement

In Field Assistance Bulleting 2021-02, published on October 25, 2021, the US Department of Labor announced with respect to its Fiduciary Rule 3.0 that: ..The temporary ERISA enforcement policy for conflicted fiduciary...more

10/26/2021 / Conflicts of Interest , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Enforcement , Fiduciary , Fiduciary Rule , Field Assistance Bulletins , IRA Rollovers , Retirement Plan , Time Extensions

The emerging patchwork of fiduciary investment advice regulation – Putting the pieces together (update)

As anticipated, this year has seen a number of fiduciary and best interest investment advice regulations advance at both the federal and state levels. Firms subject to these regulations will face challenges in dealing with...more

8/15/2019 / Best Interest Standard , Broker-Dealer , Conflicts of Interest , Fiduciary Duty , Financial Services Industry , Investment Adviser , Retail Investors , Securities and Exchange Commission (SEC)

2012 in Review: ERISA Individual Prohibited Transaction Exemptions

In 2012, the Department of Labor (DOL) continued a fairly active program of issuing individual exemptions from the prohibited transaction rules of ERISA. These rules generally prohibit, among other things: - Sale and...more

1/8/2013 / Conflicts of Interest , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Exemptions , Fiduciary Duty , IRS , PTEs

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