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Fiduciary Duty › Covered Transactions

Troutman Pepper

Mergers & Acquisitions 2019: USA Chapter

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2018 M&A Numbers - Following 2017’s market decline, overall M&A volume trended in a positive direction in 2018. While the almost 20,000 transactions closed globally in 2018 did represent a 15 percent drop from the previous...more

Goodwin

How the DOL’s Impartial Conduct Standard Affects Exemptions Used by Financial Services Companies

Goodwin on

In conjunction with its issuance in April 2016 of a new regulation redefining the concept of “investment advice” for purposes of fiduciary status under ERISA and Section 4975 of the Code, the Department of Labor amended a...more

Mintz - Employment Viewpoints

The Department of Labor’s 2016 Final Fiduciary and Conflict of Interest Regulations: Amendments to Prohibited Transaction...

Mintz - Employment Viewpoints on

This post continues our examination of the Department of Labor’s suite of final fiduciary and conflict of interest regulations. Our previous posts discussed the newly expanded definition of “investment advice fiduciary”; the...more

Pillsbury Winthrop Shaw Pittman LLP

DOL’s Proposed Prohibited Transaction Exemption: Best Interest Contracts

Pillsbury Winthrop Shaw Pittman LLP on

This is the second in a series of client advisories regarding the U.S. Department of Labor’s re-proposed regulations (Proposed Rule) defining who is a fiduciary under ERISA and the Code as a result of providing investment...more

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