Department of Labor

Mark Davis owes his new CCO job to a three-year dispute his employer, DeWaay Capital Management ($185M in AUM) in Johnston, Iowa, had with the ...

A new proposed rule released last week by the Department of Labor would require advisers and broker-dealers to create a "guide" to make it easier ...

This proposed rule from 2014 would require certain service providers under ERISA, e.g., investment advisers and broker-dealers, to give the plan fiduciary a “guide” to ...

One-stop shopping eludes the whistleblower. Take the case of Eric Ben-Artzi. This month the former Deutsche Bank quantitative risk analyst went public with his whistleblower ...

The criterion includes a 5-part test and you must answer "yes" to each part

It's gone. That's how some are describing last week's action by the Department of Labor to replace an FAQ that had advisers to 401(k) and ...

You survived the new disclosures attached to ERISA rule 408(b)(2) (IA Watch, June 15, 2012) and now it's time to prepare for the second wave: ...

The Department of Labor put out this “direct rule” in 2012 to announce a website where plan sponsors could report service providers, such as investment ...

This is a proposed rule from the Department of Labor released in 2012 that would set up a website for plan sponsors to report to ...

Even as lawmakers continue to express their unhappiness with the Department of Labor's plans to revise its definition of a fiduciary under ERISA, a DOL ...