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The Second Circuit Upholds Reg BI

USA - July 1 2020 On June 26, 2020, the U.S. Court of Appeals for the Second Circuit issued its ruling on the challenge to the legality of the Regulation Best Interest…

Bruce L. Ashton, Sandra D. Grannum, James G. Lundy, David W. Porteous, Fred Reish

Department of Labor Publishes Request for Information on Pooled Employer Plans

USA - June 23 2020 The Setting Every Community Up for Retirement Enhancement (SECURE) Act of 2019 created a new type of plan that may begin operating in 2021 called a…

Bruce L. Ashton, Fred Reish

IRS Releases Coronavirus-Related FAQs for Retirement Plans and IRAs - Some Guidance Still Forthcoming

USA - May 12 2020 On March 27, Congress enacted the Coronavirus Aid, Relief and Economic Security (CARES) Act, a massive stimulus package in response to the global…

Christopher R. Williams

SEC Examination Guidelines and FAQs on Form CRS

USA - April 22 2020 The SEC has issued guidance addressing the Form CRS. The first is a Risk Alert from the Office of Compliance Inspections and Examinations (OCIE)…

Joshua B. Deringer, Bruce L. Ashton, Sandra D. Grannum, James G. Lundy, David W. Porteous, Fred Reish

The Word Is Out on SEC Examinations for Reg BI Compliance - the OCIE Risk Alert

USA - April 15 2020 On April 7, 2020, the Securities and Exchange Commission (SEC) Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert providing…

Joshua B. Deringer, Bruce L. Ashton, Sandra D. Grannum, James G. Lundy, David W. Porteous, Fred Reish