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Employee Retirement Income Security Act (ERISA) › Asset Management › Broker-Dealer

Mintz

Federal Court Bars Missouri's Anti-ESG Investment Rules

Mintz on

Yesterday, Judge Bough (W.D. Mo.) issued a decision barring the recent anti-ESG rules Missouri had promulgated that prohibited investment advisers from utilizing ESG factors when making investment decisions (absent written...more

Eversheds Sutherland (US) LLP

Regulators have bank deposit sweep programs in their sights

Eversheds Sutherland (US) LLP on

Coming on the heels of the share class initiative, the US Securities and Exchange Commission (SEC) is at the initial stages of another initiative involving concerns about adviser disclosures and conflicts related to bank...more

Dechert LLP

DOL “Investment Advice” FAQs: Considerations for Investment Advisers, Broker-Dealers and Insurance Companies

Dechert LLP on

The U.S. Department of Labor (DOL) issued in April 2016 the final version of its controversial “investment advice” regulation and various related exemptions (collectively, Final Rules), which are widely expected to have a...more

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