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30 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 | 6 Mar 2019

State Fiduciary and Best Interest Developments

Connecticut HB 7161 "An Act Requiring Administrators of Certain Retirement Plans to Disclose conflicts of Interest" went into effect on October 1

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 | 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 | 30 Apr 2018

The Fate of the Fiduciary Rule: What is Not Affected

While we won’t know until the end of the month whether the DOL fiduciary rule will survive beyond May 7, there are some activities that won’t be

Article

Drinker Biddle & Reath LLP | USA | 26 Mar 2018

Bye-Bye Fiduciary Rule?

Should you say goodbye to the Fiduciary Rule? Maybe, but not just yet. The DOL has until the end of April to decide whether to let the 5th Circuit

Article

Drinker Biddle & Reath LLP | USA | 7 Mar 2018

Family Members as Investors in IRAs and Plans

Most of us want to help family members - especially with issues in our realm of experience. But helping family members with their IRAs creates a

Article

Drinker Biddle & Reath LLP | USA | 12 Feb 2018

The Fiduciary Duty for Cybersecurity

Computer hacking seems to be a daily fact of life. Since most plan information is stored electronically, hacking presents a vulnerability that

Article

Drinker Biddle & Reath LLP | USA | 2 Feb 2018

Reasonable Compensation

In a previous post , we debunked the myth that the Fiduciary Rule requires advisors to recommend the lowest-cost investments. In this post, we discuss

Article

Drinker Biddle & Reath LLP | USA | 10 Aug 2017

DOL’s Latest Set of FAQs: 408(b)(2) Disclosures and Plan Contribution Recommendations

The Department of Labor (DOL) has released another set of FAQs under the fiduciary rule. In light of possible changes to the rule, these FAQs give

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