Henry Bregstein

Katten Muchin Rosenman LLP

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Latest Posts › Best Interest Contract Exemptions

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Department of Labor Finalizes 18-Month Extension for Simplified Compliance With the BIC Exemption Under the ERISA Fiduciary Advice...

On November 29, the US Department of Labor (DOL) finalized its 18-month extension of the transition period under the Best Interest Contract Exemption (the "BIC Exemption"). As described in Katten's earlier advisory,...more

12/1/2017 / Benefit Plan Sponsors , Best Interest Contract Exemptions , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Duty , Fiduciary Rule , Financial Services Industry , Investment Adviser , Principal Transaction Exemption , Retirement Plan

Sign of Future Changes? DOL Proposes 18-Month Extension of Transition Period for Compliance With ERISA "Fiduciary Investment...

On August 9, the US Department of Labor (DOL) announced in a court filing that it has proposed an 18-month extension of the full implementation of the Best Interest Contract Exemption (the "BIC Exemption") under the ERISA...more

8/14/2017 / Benefit Plan Sponsors , Best Interest Contract Exemptions , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Rule , Fund Managers , Investment Adviser , OMB , Time Extensions

Compliance With the ERISA Fiduciary Advice Rule for Private Investment Fund Managers and Sponsors and Managed Account Advisers:...

The DOL's "fiduciary advice rule" (the "Rule") will take effect on June 9, 2017. The DOL has published FAQs on the implementation of the Rule applicable to the period between June 9th and December 31st (the "Transition...more

6/7/2017 / Best Interest Contract Exemptions , Conflicts of Interest , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Enforcement Authority , Fiduciary Rule , Investment Adviser , Prohibited Transactions , Retirement Plan , Safe Harbors

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