Michael Richman

Morgan Lewis

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Latest Posts › Principal Transaction Exemption

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It’s Official! DOL Finalizes Delay

The Fiduciary Rule transition period is extended until mid-2019, with financial institutions having flexibility in complying with the impartial conduct standards during this period....more

11/30/2017 / Best Interest Contract Exemptions , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Rule , Financial Institutions , Principal Transaction Exemption , Retirement Plan

DOL Issues Proposed Delay of Fiduciary Rule Compliance Date and Enforcement Relief

The proposal would extend the transition period to July 1, 2019. The US Department of Labor (DOL) has proposed to delay the applicability of additional conditions of the Best Interest Contract (BIC) exemption, Principal...more

9/7/2017 / Best Interest Contract Exemptions , Department of Labor (DOL) , Fiduciary Rule , Principal Transaction Exemption , Retirement Plan

DOL to Propose Extension of Fiduciary Rule Transition Period

The proposal is expected to delay additional conditions of exemptions from January 1, 2018 to July 1, 2019, but the ultimate length of delay will not be clear until the DOL publishes a final rule....more

8/11/2017 / Best Interest Contract Exemptions , Department of Labor (DOL) , Fiduciary Rule , Insurance Contracts , OMB , Principal Transaction Exemption , Request For Information

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