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33 results found

Article

Vedder Price PC | USA | 28 Feb 2017

SEC Interpretive Letter Permits Brokers to Charge Commissions on Sales of "Clean Shares" of Mutual Funds

On January 11, 2017, the staff of the SEC's Division of Investment Management issued an interpretive letter (the Interpretive Letter) expressing its

Article

Vedder Price PC | USA | 17 Jan 2017

SEC Staff Issues Guidance on Disclosure of Sales Load Variations and Filing of New Share Classes in Light of DOL Fiduciary Rule

On December 15, 2016, the staff of the SEC's Division of Investment Management issued a Guidance Update (the Guidance Update) addressing certain

Article

Vedder Price PC | USA | 13 Apr 2016

Employee Benefits Briefing - Department of Labor's Final Investment Advice Fiduciary Rule

After days of hearings and thousands of comments, the Department of Labor (DOL) has issued a significantly revised final rule (rule) outlining when a

Article

Vedder Price PC | USA | 15 Jul 2015

U.S. Supreme Court allows plaintiffs in 401(k) plan case to pursue breach of fiduciary duty claims under continuing duty theory

On May 18, 2015, the U.S. Supreme Court issued a decision reinstating breach of fiduciary duty claims brought under the Employee Retirement Income

Article

Vedder Price PC | USA | 15 Jul 2015

Department of Labor issues new proposed rule defining fiduciary investment advice

On April 14, 2015, the U.S. Department of Labor ("DOL") released a re-proposed regulation defining who is considered a "fiduciary" of an employee

Article

Vedder Price PC | USA | 5 May 2014

Withdrawal liability to multi-employer pension plans under ERISA

This paper is intended as a general guide to the withdrawal liability provisions of ERISA, which were added in 1980 by the Multi-Employer Pension

Article

Vedder Price PC | USA | 3 Feb 2014

SEC charges investment adviser with violations of the federal securities laws

On January 27, 2014, the SEC issued two orders instituting administrative and cease-and-desist proceedings against Western Asset Management Co., an

Article

Vedder Price PC | USA | 7 Aug 2013

Private equity funds: beware of pension withdrawal liability incurred by a portfolio company

In a case of first impression decided on July 24, 2013, the First Circuit Court of Appeals ruled that a private equity fund and its portfolio

Article

Vedder Price PC | USA | 15 Nov 2011

Withdrawal liability to multi-employer pension plans under ERISA

This paper is intended as a general guide to the withdrawal liability provisions of ERISA, which were added in 1980 by the Multi-Employer Pension Plan Amendments Act (“MPPAA”) for practitioners and executives.

Article

Vedder Price PC | USA | 29 Sep 2011

Department of Labor interim guidance on electronic disclosure of fee information

In 2012, plan fiduciaries must provide 401(k) (and other defined contribution) plan participants more detailed information regarding plan investments and the fees that affect their accounts.

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