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
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
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