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63 results found

Article

Drinker Biddle & Reath LLP | USA | 30 Apr 2019

TIPS for TPAs: MEPs: Compensating the Sponsor, Part II

Given the possible advantages of multiple employer plans (MEPs) - in transferring fiduciary responsibility and administrative burdens and in reducing

Article

Drinker Biddle & Reath LLP | USA | 31 Jan 2019

The Continuing Convergence of Retail and Retirement Regulatory Oversight

Last month the SEC's Office of Compliance Inspections and Examinations (OCIE) issued its "2019 Examination Priorities." The release of OCIE's 2019

Article

Drinker Biddle & Reath LLP | USA | 10 Jan 2019

Best Interest and Best Practices 12

In my last three posts (9 and 10 and 11), I discuss the Best Interest standard of care and its practical application. This article discusses a

Article

Drinker Biddle & Reath LLP | USA | 11 Dec 2018

Best Interest and Best Practices 11

Under ERISA’s fiduciary rules, advisors are required to use generally accepted investment theories and prevailing investment industry practices

Article

Drinker Biddle & Reath LLP | USA | 28 Nov 2018

Best Interest and Best Practices 10

My last article, Bests 9, discussed different definitions of a “best interest” standard of care. The point of that article is that, while there may

Article

Drinker Biddle & Reath LLP | USA | 13 Nov 2018

Best Interest and Best Practices 9

“Best Interest” has because part of the American lexicon . . . As an aspirational goal or a demanding standarddepending on the point of view. But

Article

Drinker Biddle & Reath LLP | USA | 22 Oct 2018

Recommending Rollovers in the Evolving Regulatory Environment (Part 3)

In Parts 1 and 2 of this post, we talked about the current and proposed rules applicable to rollover recommendations by broker-dealers and RIAs. Part

Article

Drinker Biddle & Reath LLP | USA | 22 Aug 2018

Hearing on Retirement Income by the ERISA Advisory Council

I recently testified before the Department of Labor’s ERISA Advisory Council on the subject of lifetime income. More specifically, it was about

Article

Drinker Biddle & Reath LLP | USA | 9 Aug 2018

Recommending Rollovers in the Evolving Regulatory Environment (Part 1)

With recent developments in the regulatory landscape - the demise of the DOL Fiduciary Rule, the SEC’s proposed Regulation Best Interest (Reg BI) and

Article

Drinker Biddle & Reath LLP | USA | 1 Aug 2018

Interesting Angles on the DOL’s Fiduciary Rule 99

The SEC labeled its interpretation of the standard of care for RIAs (the "RIA Interpretation") as a proposal. However, in that proposal, the SEC

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