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102 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

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 | 8 Feb 2018

Past, Present and Future of the DOL Fiduciary Rule

The Department of Labor’s (“DOL”) fiduciary rule (“DOL Fiduciary Rule”) became applicable June 9, 2017, after an intense multiyear regulatory saga

Article

Morrison & Foerster LLP | USA | 31 Oct 2017

Treasury Department Urges PrinciplesBased Regulation of Money Managers; Delay of Implementation of Liquidity Risk Management and Fiduciary Rules

The U.S. Department of the Treasury's report on asset management and insurance recommends, among other things, a delay in implementation of the SEC's

Article

Morrison & Foerster LLP | USA | 2 Oct 2017

SEC Chairman Clayton Addresses Senate Committee

On September 26, 2017, SEC Chairman Jay Clayton delivered to the U.S. Senate Committee on Banking, Housing and Urban Affairs his first testimony as

Article

Morrison & Foerster LLP | USA | 30 Jun 2017

DOL Issues Request for Information Regarding Fiduciary Rule

On June 29, 2017, the Department of Labor (“DOL”) issued a Request for Information (“RFI”) in connection with its examination of the Final Fiduciary

Article

Proskauer Rose LLP | USA | 30 Jun 2017

DOL Again Seeks Comments on New Fiduciary Rules and Exemptions

On June 29, 2017, the Department of Labor (“DOL”) requested another round of public comment on its fiduciary rulethis time in the form of a Request

Article

Pillsbury | USA | 13 Jun 2017

DOL Fiduciary RuleRecommended Action for Private Fund Managers

On June 9, 2017, the Department of Labor (DOL) regulation updating the definition of “fiduciary” for purposes of ERISA became effective, along with a

Article

Epstein Becker Green | USA | 31 May 2017

No Delay to DOL Fiduciary Rule: June 9, 2017 Applicability Date Stands (For the Most Part)

The Department of Labor ("DOL") previously announced the applicability date for the DOL's fiduciary rule (the "Fiduciary Rule") will be June 9, 2017

Article

Thompson Hine LLP | USA | 30 Jan 2017

SEC Guidance for Funds Offering Sales Load Variations and New Share Classes

The U.S. Securities and Exchange Commission (SEC) recently offered guidance to mutual funds that are considering variations in sales loads and new

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