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522 results found

Article

Dickinson Wright | USA | 25 Mar 2019

A Written Fee Policy Can Help Employers Answer the Question: Who Pays for Your 401(k) or 403(b) Plan’s Administrative Costs and How Do You Know?

Most employers are familiar by now of the many lawsuits (more than 100) filed against 401(k) and 403(b) plan sponsors and their employee fiduciaries

Article

Sidley Austin LLP | USA | 12 Jul 2018

Investment Funds, Advisers and Derivatives - Mid-Year Recap of Our 2018 Client Updates

As the developments affecting the investment management industry continue to unfold, we have once again prepared our semi-annual compendium of

Article

Kilpatrick Townsend & Stockton LLP | USA | 30 Apr 2018

Department of Labor Warns about Socially Responsible Investing and Shareholder Activism

On April 23, 2018, the Department of Labor (DOL) issued Field Assistance Bulletin 2018-01 (FAB 2018-1) warning its national and regional offices that

Article

K&L Gates | USA | 30 Aug 2017

The Department of Labor’s Fiduciary Rule - Three Issues for Retirement Plan Sponsors

The DOL’s fiduciary rule re-defines when a party is acting as a “fiduciary” under ERISA as a result of providing investment advice to a retirement

Article

Faruki PLL | USA | 8 Jun 2017

Department of Labor to Close ERISA’s “Broker Dealer” Loophole

President Trump's pronounced distaste for financial regulations placed the fiduciary duty into the national spotlight earlier this year when the

Article

Porter Wright Morris & Arthur LLP | USA | 1 Jun 2017

The “final” countdown: DOL fiduciary rule still applies June 9, 2017

Much has been written to speculate what may become of the Department of Labor’s (DOL) fiduciary rule. Recently, the DOL issued a FAQ confirming that

Article

Proskauer Rose LLP | USA | 24 May 2017

DOL’s Fiduciary Rule To Apply June 9th, Investment Managers and Advisers May Want to Take Action Now

The U.S. Department of Labor's (DOL) final rule significantly expanding when a person is considered to be a fiduciary under the Employee Retirement

Article

Sidley Austin LLP | USA | 16 May 2017

Managers of Investment Funds: It Is Time to Consider Action to Address the DOL Fiduciary Rule

The applicability date of the new Department of Labor (DOL) fiduciary rule is less than a month away. Now is the time for investment managers of

Article

Husch Blackwell LLP | USA | 3 Apr 2017

Proxy Voting and Interpretive Bulletin 2016-01

On December 29, 2016, the Department of Labor (DOL) issued Interpretive Bulletin 2016-01 (the “Bulletin”) relating to the exercise of shareholder

Article

K&L Gates | USA | 19 Jan 2017

SEC Staff Addresses Mutual Fund Fee Structures in Response to DOL's Fiduciary Rule

As the April 10, 2017, compliance date for the United Stated Department of Labor's ("DOL") new fiduciary rule (the "Fiduciary Rule") approaches, many

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