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Eversheds Sutherland (US) LLP

Dual registrant regulatory roundup - May 2024

Eversheds Sutherland (US) LLP on

Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guidance from securities regulators) from the...more

Dechert LLP

Yet Another DOL Fiduciary Rule Released: Will the ‘Regular Basis’ of Prior Outcomes Follow ‘Suit’?

Dechert LLP on

The Department of Labor issued a final release (the “Final Release”) which (1) finalized changes to its 1975 rule defining when institutions and individuals are providing fiduciary “investment advice” to plans that are...more

Jackson Lewis P.C.

DOL Plan Audits Updated To Include Several Questions About Compliance With Its Cybersecurity Guidelines

Jackson Lewis P.C. on

In April, we posted about the U.S. Department of Labor’s (DOL) Employee Benefits Security Administration (EBSA) issuing cybersecurity guidance for employee retirement plans. That is, April 14, 2021. Shortly thereafter, the...more

Foley Hoag LLP - Security, Privacy and the...

Cybersecurity Best Practices for Retirement Plans: How to Prepare for the Coming Department of Labor Cybersecurity Audits

Foley Hoag LLP - Security, Privacy and the... on

Are your employer-sponsored retirement accounts exposed to cybersecurity threats? How should you and those who are entrusted with your retirement assets mitigate cybersecurity risks? The official who leads the Employee...more

Faegre Drinker Biddle & Reath LLP

Broker-Dealer Services to Plans and IRAs: Impact of the DOL Fiduciary Advice Exemption

Faegre Drinker Biddle & Reath LLP on

The Department of Labor (DOL) confirmed on February 12 that the Trump-era Prohibited Transaction Exemption 2020-02 (PTE) would go into effect as scheduled on February 16, 2021. The PTE will likely affect the business of...more

Bradley Arant Boult Cummings LLP

Missing Retirement Plan Participants? The DOL Says You Should Follow These Best Practices

Bradley Arant Boult Cummings LLP on

In response to ongoing pleas for guidance, the Department of Labor (DOL) has published an informal outline expressing its views on how retirement plan administrators should be addressing missing or unresponsive participants....more

Kilpatrick

Fiduciary Rule 2.0: What You Need to Know About the DOL's New Fiduciary Rule

Kilpatrick on

On June 29, 2020, the Department of Labor (“DOL”) announced1 its new approach to the standards for financial institutions and investment professionals who provide investment advice on a nondiscretionary basis to 401(k) plans,...more

Mintz - Employment Viewpoints

No More Delays! New Disability Claims Rules to Take Effect April 2, Says DOL

Mintz - Employment Viewpoints on

On April 2, 2018, significant changes to ERISA’s disability claims procedures will take effect. These new rules will require all ERISA-covered plans which provide disability benefits to make significant modifications to the...more

Seyfarth Shaw LLP

DOL’s New Disability Plan Claims Regulations To Become Effective

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The Department of Labor’s new regulations governing disability claims and appeals published on December 19, 2016 will go into effect on April 1, 2018, as announced by the DOL on January 5, 2018. ...more

Dechert LLP

Navigating the DOL’s New Fiduciary Rules: A Game Plan for Broker-Dealers

Dechert LLP on

This OnPoint focuses on the new and amended fiduciary investment advice regulations issued by the U.S. Department of Labor (DOL) and accompanying prohibited transaction exemptions (Final Rules), from the perspective of...more

Robins Kaplan LLP

Your daily dose of financial news - The Brief – 6.10.16

Robins Kaplan LLP on

More thoughts on the Department of Labor’s new retirement adviser fiduciary duty standard, including questions about the “grassroots” movement the US Chamber of Commerce is claiming to support its opposition to the standard....more

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