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DOL issues additional FAQs related to new Fiduciary Rule
  • Eversheds Sutherland (US) LLP
  • USA
  • January 19 2017

On January 13, 2017, DOL posted 35 FAQs related to the definition of fiduciary advice in the Final Rule. In contrast to the first set of FAQs released


SEC Staff Provides Guidance on Disclosure of Sales Load Variations and Filing of New Share Classes in Light of the DOL Fiduciary Rule
  • Eversheds Sutherland (US) LLP
  • USA
  • January 5 2017

On December 16, 2016, the Division of Investment Management (IM) of the Securities and Exchange Commission (SEC) published a Guidance Update (the


FinCEN Customer Due Diligence Final Rules
  • Eversheds Sutherland (US) LLP
  • USA
  • May 19 2016

On May 5, 2016, the U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN) issued final rules (the Final Rules) on customer due


The final rule: DOL’s expanded definition of investment advice fiduciary under ERISA and revised complex of exemptions- analysis and critical issues
  • Eversheds Sutherland (US) LLP
  • USA
  • April 13 2016

Just less than a year since its proposal, and just more than six months after receiving thousands of pages of commentary, petitions and hearing


Insurance topics we will be watching in 2014
  • Eversheds Sutherland (US) LLP
  • USA
  • February 6 2014

With the first month of the year behind us, this report outlines major insurance topics that we will be watching throughout 2014.Forces, trends and


DOL proposes to substitute creditworthiness determinations for credit ratings in ERISA prohibited transaction class exemptions
  • Eversheds Sutherland (US) LLP
  • USA
  • June 28 2013

On June 21, 2013, the Department of Labor (DOL) published proposed amendments to certain class exemptions required by Section 939A of the Dodd-Frank


ERISA participant disclosure will not violate SEC advertising rules
  • Eversheds Sutherland (US) LLP
  • USA
  • November 2 2011

In response to a request from the Department of Labor (DOL), the staff of the Securities and Exchange Commission (SEC) on October 26, 2011, issued a no-action letter concluding that disclosure provided by a retirement plan administrator to plan participants that is required by and complies with DOL's new disclosure regulation for participant-directed retirement plans will be treated “as if it were a communication that satisfies the requirements of Rule 482 under the Securities Act.”


DOL and SEC publish investor bulletin on target date funds
  • Eversheds Sutherland (US) LLP
  • USA
  • May 12 2010

On May 6, 2010, the Department of Labor (DOL) and the Securities and Exchange Commission (SEC) jointly published a bulletin addressed to retirement plan investors who may be considering investing in target date funds


SEC finds Merrill Lynch investment adviser omitted information from pension fund clients
  • Eversheds Sutherland (US) LLP
  • USA
  • July 6 2009

The SEC settled a matter instituted against Michael A. Callaway whereby he is censured, must cease and desist from committing or causing any violations and any future violations of 206(2) of the Investment Advisers Act of 1940 (Advisers Act), and must pay a $20,000 penalty


SEC and Department of Labor will hold joint hearing on target date funds
  • Eversheds Sutherland (US) LLP
  • USA
  • June 3 2009

The SEC and the Department of Labor announced that they are accepting requests to participate in a joint hearing on June 18, 2009, examining target date funds