Videocast: Asset management regulation in 2020 videocast series – DOL: What’s ahead
States Sue SEC in Ongoing Fight Over Reg BI
Podcast - Credit Funds: How Managers Can Avoid and Mitigate ERISA Conflicts
I-22- The Benefits of Benefits: A Roundtable Discussion on Trending Benefits Issues for 2018
Employment Law This Week: Fiduciary Rule Takes Effect June 9, Rescission of Persuader Rule, Title VII & Sexual Orientation, Overhauling the NLRA
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
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
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
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
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
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
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
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
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