News & Analysis as of

Fiduciary Rule New Guidance

Dechert LLP

What Did the DOL Just “Rollover” (and Roll Out)? – “A Primary Basis” for Understanding the New Proposed ERISA Exemption and...

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The U.S. Department of Labor (the “DOL”) on June 29, 2020 issued a release (the “Release”) proposing an important new initiative for retirement accounts (“Plans”) that are subject to the Employee Retirement Income Security...more

Proskauer Rose LLP

DOL Proposes Restrictions on ESG Investing and Issues New Fiduciary “Investment Advice” Guidance

Proskauer Rose LLP on

Proposed ERISA Restrictions on ESG Investing - On June 23, 2020, the U.S. Department of Labor (the “DOL”) issued a proposed rule that would limit when and how fiduciaries of plans subject to the U.S. Employee Retirement...more

White and Williams LLP

Department of Labor Proposes “Replacement” Fiduciary Rule

White and Williams LLP on

On June 29, 2020, the Department of Labor (DOL) proposed new guidance regulating the conduct of financial advisors with respect to advice given to individuals regarding the investment of their retirement funds. The DOL’s...more

Proskauer - Employee Benefits & Executive...

As DOL Fiduciary Rule is Officially Vacated, Focus Shifts to SEC

After nearly a decade in the making, the Department of Labor’s fiduciary rule appears to be officially dead. On June 21st, the U.S. Court of Appeals for the Fifth Circuit issued its mandate that finalized its earlier...more

Vedder Price

Investment Services Regulatory Update - November 2017

Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - SEC STAFF GUIDANCE AND ALERTS - SEC Staff Issues No-Action Letters to Facilitate Cross-Border Compliance with the Research “Unbundling” Provisions of the European...more

Vedder Price

Investment Services Regulatory Update - July 2017

Vedder Price on

In remarks to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton outlined eight guiding principles for his chairmanship and identified certain areas in which such principles could be put into practice. ...more

Benesch

No More Delays - Fiduciary Rule Applicable June 9

Benesch on

The delays are over; the Fiduciary Rule’s applicability date will be June 9, 2017. Accordingly, plan sponsors, and the financial services industry, should be prepared to comply with the rule beginning on June 9, 2017....more

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

DOL puts out another Fiduciary FAQ

With an April 2017 deadline fast approaching, the Department of Labor (DOL) issues another frequently asked questions (FAQs) concerning the fiduciary rule which is always nice to get their interpretations of the rules with...more

Dechert LLP

SEC Staff Issues Guidance on Fund Fee Structure Disclosures

Dechert LLP on

In a Guidance Update published on December 15, 2016, the staff of the U.S. Securities and Exchange Commission’s (SEC) Division of Investment Management (Staff) articulated its views as to certain disclosure issues and...more

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