James Frazier

Cadwalader, Wickersham & Taft LLP

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DOL Issues Final Rule Regarding Fiduciary Investment Advice

On Tuesday, April 23, 2024, the U.S. Department of Labor (the “DOL”) released its new final rule (the “Final Rule”) regarding when a person becomes a “fiduciary” by virtue of providing investment advice for purposes of the...more

5/3/2024 / Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary , Final Rules , Internal Revenue Code (IRC) , Investment , Investment Adviser

DOL Issues Final Rule Amending Investment Duties Regulation – Provides New Guidance on Consideration of ESG Factors in Plan...

On November 22, the United States Department of Labor (“DOL”) released its final rule (the “Final Rule”) adopting certain revisions to its investment duties regulation under ERISA at 29 CFR Section 2550.404a-1 (the “Section...more

12/9/2022 / Department of Labor (DOL) , Employee Benefits , Employee Retirement Income Security Act (ERISA) , Environmental Social & Governance (ESG) , Fiduciary Duty , Final Rules , Financial Services Industry , Investment Management , Proxy Voting , Retirement Plan

Department of Labor Finalizes Rule Adopting Amendments to the “Investment Duties” Regulation

On October 30, 2020, the U.S. Department of Labor (“DOL”) published its final rule (“Final Rule”) adopting amendments to its longstanding “investment duties” regulation under the Employee Retirement Income Security Act of...more

11/18/2020 / Department of Labor (DOL) , Employee Benefits , Employee Retirement Income Security Act (ERISA) , Environmental Social & Governance (ESG) , Fiduciary Duty , Final Rules , Financial Regulatory Reform , Investment Management , Retirement Plan

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