W. Mark Smith

W. Mark Smith

Sutherland Asbill & Brennan LLP

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Latest Posts › Fiduciary Duty

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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

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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