We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 11-20 of 2,573

Fiduciary Rule and Puerto Rico in Focus for Financial Services Lawmakers; SEC, CFTC, FDIC to Hold Meetings
  • Squire Patton Boggs
  • USA
  • April 25 2016

Last week, on April 19, just one day after Senate Republicans introduced a resolution to disapprove and nullify the Department of Labor’s (DOL


SEC Probes Retirement Advice
  • Carlton Fields
  • USA
  • April 25 2016

The SEC has been sending lengthy sweep examination letters to many registered investment advisers (RIAs) and broker-dealers, requesting a broad


Pension Income Stream Products
  • Katten Muchin Rosenman LLP
  • USA
  • April 22 2016

Financial Industry Regulatory Authority recently released Regulatory Notice 16-12 to provide guidance to firms on their responsibilities for sales of


Education or Advice: The DOL Final Definition of Fiduciary; Conflict of Interest Rule
  • Bryan Cave LLP
  • USA
  • April 21 2016

Earlier this month, the Department of Labor finally released the long-awaited "Definition of Fiduciary; Conflict of Interest Rule." This blog post is


In Defense of Hedge FundsWhy NYCERS Should Reconsider Exiting All HFs
  • Winston & Strawn LLP
  • USA
  • April 21 2016

I would like to share some thoughts regarding New York City Employees Retirement System (NYCERS) voting to exit all Hedge Funds. Pension funds should


Investment management legal regulatory update - April 2016
  • Morrison & Foerster LLP
  • USA
  • April 20 2016

The Department of Labor (DOL) issued its long-anticipated final regulation (the “Regulation”) defining who is a fiduciary as a result of giving


Interesting Angles on the DOL’s Fiduciary Rule 1
  • Drinker Biddle & Reath LLP
  • USA
  • April 19 2016

While you have probably read articles that summarize the DOL’s final fiduciary rule and exemptionsand perhaps even articles that discuss specific


U.S. Department of Labor Finalizes Fiduciary Definition and Conflict of Interest Rule
  • Proskauer Rose LLP
  • USA
  • April 19 2016

On April 6, 2015, the U.S. Department of Labor (Department) issued its highly anticipated final rule addressing when a person is considered to be a


DOL’s Final Fiduciary Rule - What Does It Mean for your 401(k)?
  • SmithAmundsen LLC
  • USA
  • April 15 2016

Every employer offering a 401(k) plan is faced with the decision about what investment options to make available to participants through their plan


The DOL’s Final Fiduciary Rule: Leveling the Playing Field for Retirement Investors
  • Epstein Becker Green
  • USA
  • April 14 2016

On April 6, 2016, the U.S. Department of Labor ("DOL") released its final rule ("Fiduciary Rule") concerning the definition of a "fiduciary" who