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The Pennsylvania Supreme Court Nixes a No-Poach Agreement Between Business Partners as Overbroad

USA - June 1 2021 As reported here and here, in December 2019 and January 2020, the United States Department of Justice brought its first criminal charges against…

Daniel J. Green

DOL’s Final Rule on Investment Duties of ERISA Fiduciaries and Its Impact on Retirement Plan ESG Investing

USA - January 8 2021 On October 30, 2020, the Department of Labor (DOL) adopted the Final Rule amending the Investment Duties DOL Regulation, §2550.404a-1, which governs…

Gretchen Harders

Five Developing Trends Financial Employers Need to Know

USA - November 22 2019 As certain long-standing issues of interest to financial services employers seem to be receiving a degree of reactive attention, other cutting-edge…

David J. Clark, John F. Fullerton III, James D. Mackinson, Eduardo J. Quiroga, Lauri F. Rasnick

An Overview of the SEC’S “Regulation Best Interest” and Form CRS

USA - September 9 2019 Broker-dealers (“BDs”) should be aware that, on June 5, 2019, the SEC adopted “Regulation Best Interest” (“Reg BI”), which requires BDs and their…

The Limits of Latif: Enforcing Mandatory Arbitration Clauses as to Harassment and Discrimination Claims Litigated in New York State Court

USA - July 11 2019 On June 19, 2019, the New York State Senate and Assembly passed legislation that would, if signed into law, broaden the scope of last year's ban on…