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Retirement Plan › Fiduciary Duty › Investment Advisers Act of 1940

Goodwin

DOL Finalizes Rule Opening Door to ESG Investing in Retirement Plans

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Regulatory Developments - CFPB Issues Guidance on Investigation Practices by Consumer Reporting Agencies - On November 22, the DOL announced a final rule under the Employee Retirement Income Security Act (ERISA) to...more

Goodwin

SEC Staff Provides Guidance on Broker-Dealer and Investment Adviser Standards of Conduct For Account and Rollover Recommendations...

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U.S. Securities and Exchange Commission staff recently published a bulletin reiterating the standards of conduct applicable to broker-dealers and investment advisers when making account recommendations to retail investors....more

Ballard Spahr LLP

Investment Management Update

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Investment Adviser AXA Wins Excessive Fee Trial - A federal judge in New Jersey has ruled in favor of AXA Equitable Life Insurance Company (AXA Equitable) and its wholly owned subsidiary, AXA Equitable Funds Management...more

Troutman Pepper

Department of Labor Issues Long-Awaited Fiduciary Rule

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The new standard requires broker-dealers providing advice with respect to IRAs to put their client’s interests ahead of their own. The U.S. Department of Labor released new rules on April 6 that materially enlarge the...more

Ballard Spahr LLP

Investment Management Update - October 2015

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Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more

Butler Snow LLP

Are You My Fiduciary? The DOL Takes Aim At A Fiduciary Standard For All Giving Retirement Investment Advice

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The Department of Labor is pressing forward in its efforts to impose a fiduciary standard on anyone giving retirement investment advice. A fiduciary standard would require every retirement investment adviser to put the...more

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