Employee Retirement Income Security Act (ERISA)

The QPAM Exemption permits an investment fund holding assets of ERISA plans and IRAs that is managed by a ‘qualified professional asset manager’ (QPAM) to ...

Do you feel lucky? When you play Blackjack, do you request a card when holding 12? Or when shooting dice, are you more likely to ...

If your firm sells insurance products, you could be feeling lately like you’re being hit by a one-two regulatory punch given the Labor Department’s recent ...

The DOL states its proposed definition of a fiduciary under ERISA is "generally consistent with the best interest obligations set forth in the” SEC’s 2019 ...

This is the Department of Labor's rule proposal from 2023 that would revise ERISA's fiduciary duty definition

High Court's demand for "context-specific" reviews may open the door for more expensive litigation, expert worries

Third time through, plaintiffs still couldn't make any factual allegations, judge finds

'Inartful language' aside, private fund advocates call it a win

Be sure also by the December date to be giving ERISA clients a written statement as to why a rollover serves their best interests

A CCO peer shares the adviser's rollover form, which comes in a fill-in-the-blanks format