DOL Fiduciary Duty Rule

More voices have joined the chorus addressing the Department of Labor’s final fiduciary rule (IA Watch, April 6, 2016).   The final rule also provided ...

It has long been part of ERISA that fiduciaries mustn’t charge excessive fees. The industry begged the Department of Labor in its fiduciary final rule ...

As the financial services industry pours over the 1,023 pages that comprise the Department of Labor’s newly released final rule on fiduciary duty and related ...

The Department of Labor’s regulatory revision of its ERISA fiduciary duty standard is so sweeping the agency couldn’t contain it all in one rule but ...

This document contains a final regulation defining who is a “fiduciary” of an employee benefit plan under the Employee Retirement Income Security Act of 1974 ...

The exemption permits principal transactions and riskless principal transactions in certain investments between a plan, plan participant or beneficiary account, or an IRA, and a fiduciary ...

The exemption allows entities such as registered investment advisers, broker dealers and insurance companies, and their agents and representatives, that are ERISA or Code fiduciaries by ...

These exemptions generally permit fiduciaries to receive compensation or other benefits as a result of the use of their fiduciary authority, control or responsibility in ...

The ERISA and Code provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self-dealing in ...

This amendment permits investment advice fiduciaries to receive compensation when they extend credit to plans and IRAs to avoid a failed securities transaction. The amendment ...