W. Mark Smith

W. Mark Smith

Sutherland Asbill & Brennan LLP

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The Final Rule: Technical Corrections to Best Interest Contract and Principal Transaction Exemptions

On July 7, 2016, DOL released technical corrections to its two new exemptions published in April 2016 in conjunction with the Final Rule: ..The Best Interest Contract Exemption (BICE), now officially designated as...more

7/13/2016 - Best Interest Contract Exemptions DOL ERISA Fiduciary Duty Final Rules Financial Institutions PTEs

DOL Has Many Questions About its Fiduciary Reproposal

As has been widely reported, the U.S. Department of Labor (DOL) on April 14 issued its proposal to expand the definition of investment advice fiduciary under the Employee Retirement Income Security Act (ERISA). DOL included...more

6/1/2015 - 401k DOL ERISA Fiduciary Duty FINRA Retirement Plan

Supreme Court Instructs Ninth Circuit to Consider Common Law of Trusts in Applying ERISA's Statute of Limitations

The Supreme Court has once again emphasized the importance of ERISA’s origins in the common law of trusts, this time in interpreting its statute of limitations. On May 18, the Court reversed the Ninth Circuit’s decision in...more

5/21/2015 - Breach of Duty Common Law Claims ERISA Fiduciary Duty Investment Funds Mutual Funds SCOTUS Statute of Limitations Tibble v Edison Int Trusts

DOL Reproposes Expanded ERISA Fiduciary Definition and Revised Complex of Exemptions

On April 14, 2015, after 43 months in development, the U.S. Department of Labor (DOL) released its reproposal to expand the “investment advice fiduciary” definition under the Employee Retirement Income Security Act of 1974,...more

4/22/2015 - Benefit Plan Sponsors DOL ERISA ESOP Fiduciary Duty Investment Adviser IRS Qualified Retirement Plans

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 DOL ERISA Exemptions Fiduciary Duty IRS PTEs

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