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

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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