More than 25 years have elapsed since the SEC adopted Exchange Act Rule 17a-4(f) governing electronic recordkeeping by broker-dealers. In an effort to update the rule to reflect “technology neutral” concepts, the SEC adopted...more
A federal district court in Ohio recently attempted to shed some light on when internal communications between an ERISA plan administrator and its in-house counsel are discoverable and when they are protected by the...more
10/14/2019
/ Attorney-Client Privilege ,
Beneficiaries ,
Death Benefits ,
Denial of Insurance Coverage ,
Document Productions ,
Employee Benefits ,
Employee Retirement Income Security Act (ERISA) ,
Fiduciary Duty ,
Fiduciary Exception ,
Insurance Claims ,
Insurance Litigation ,
Internal Communications ,
Life Insurance ,
Plan Administrators ,
Retirement Plan ,
Wrongful Death
The Securities and Exchange Commission’s Regulation Best Interest faces a bumpy road in the wake of recent lawsuits challenging the appropriateness and effectiveness of the rule....more
10/10/2019
/ Best Interest Standard ,
Broker-Dealer ,
Consumer Insurance Products ,
Dodd-Frank ,
Fiduciary Duty ,
Investment Adviser ,
Investment Management ,
Jurisdiction ,
Life Insurance ,
New Rules ,
Regulation Best Interest ,
Regulation BI ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions ,
Standard of Conduct ,
Sua Sponte ,
Subject Matter Jurisdiction