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The Final Rule: DOL Issues Fourth Set of FAQs
  • Eversheds Sutherland (US) LLP
  • USA
  • August 9 2017

On August 3, 2017, the Department of Labor (DOL) released a fourth set of FAQs related to its new "investment advice" fiduciary definition and related


The Final Rule: The Fifth Request for Public Comments
  • Eversheds Sutherland (US) LLP
  • USA
  • June 30 2017

On June 29, 2017, the Department of Labor (DOL) released a request for information (RFI), seeking public comments yet again on its new "investment


The Final Rule: BICE on Ice? Status of the DOL Fiduciary Rule
  • Eversheds Sutherland (US) LLP
  • USA
  • March 8 2017

With recent developments in all three branches of government bearing on the authority and timing of the new Department of Labor (DOL) final rule


DOL issues additional FAQs related to new Fiduciary Rule
  • Eversheds Sutherland (US) LLP
  • USA
  • January 19 2017

On January 13, 2017, DOL posted 35 FAQs related to the definition of fiduciary advice in the Final Rule. In contrast to the first set of FAQs released


SEC Staff Provides Guidance on Disclosure of Sales Load Variations and Filing of New Share Classes in Light of the DOL Fiduciary Rule
  • Eversheds Sutherland (US) LLP
  • USA
  • January 5 2017

On December 16, 2016, the Division of Investment Management (IM) of the Securities and Exchange Commission (SEC) published a Guidance Update (the


FinCEN Customer Due Diligence Final Rules
  • Eversheds Sutherland (US) LLP
  • USA
  • May 19 2016

On May 5, 2016, the U.S. Treasury Department's Financial Crimes Enforcement Network (FinCEN) issued final rules (the Final Rules) on customer due


The final rule: DOL’s expanded definition of investment advice fiduciary under ERISA and revised complex of exemptions- analysis and critical issues
  • Eversheds Sutherland (US) LLP
  • USA
  • April 13 2016

Just less than a year since its proposal, and just more than six months after receiving thousands of pages of commentary, petitions and hearing


Insurance topics we will be watching in 2014
  • Eversheds Sutherland (US) LLP
  • USA
  • February 6 2014

With the first month of the year behind us, this report outlines major insurance topics that we will be watching throughout 2014.Forces, trends and


DOL proposes to substitute creditworthiness determinations for credit ratings in ERISA prohibited transaction class exemptions
  • Eversheds Sutherland (US) LLP
  • USA
  • June 28 2013

On June 21, 2013, the Department of Labor (DOL) published proposed amendments to certain class exemptions required by Section 939A of the Dodd-Frank


ERISA participant disclosure will not violate SEC advertising rules
  • Eversheds Sutherland (US) LLP
  • USA
  • November 2 2011

In response to a request from the Department of Labor (DOL), the staff of the Securities and Exchange Commission (SEC) on October 26, 2011, issued a no-action letter concluding that disclosure provided by a retirement plan administrator to plan participants that is required by and complies with DOL's new disclosure regulation for participant-directed retirement plans will be treated “as if it were a communication that satisfies the requirements of Rule 482 under the Securities Act.”