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109 results found

Article

Sheppard Mullin Richter & Hampton LLP | USA | 26 Jun 2018

Regulation Best Interest: The SEC’s Responds to the DOL’s Fiduciary Rule

On April 18, 2018, the Securities and Exchange Commission published its proposed Regulation Best Interest. Regulation Best Interest would require

Article

Mintz | USA | 11 Apr 2018

Fifth Circuit Court of Appeals Invalidates the 2016 Final Department of Labor Fiduciary Rule and Related Prohibited Transaction Exemptions

What’s a financial advisor to do? On March 15, 2018, the Fifth Circuit Court of Appeals in Chamber of Commerce of the U.S. v. U.S. Dep’t. of Labor, No

Article

Proskauer Rose LLP | USA | 15 Mar 2018

Tenth Circuit Upholds DOL’s Authority to Impose New Conditions for PTEs and Leaves Door Open for Changes to Fiduciary Rule

The Tenth Circuit recently affirmed the Department of Labor’s authority to impose new conditions for exemption from prohibited transaction rules with

Article

Burr & Forman LLP | USA | 30 Oct 2017

Morgan Stanley Exits, Slams Protocol as “Unsustainable”

Morgan Stanley announced October 30 that it would exit the Protocol for Broker Recruiting, as part of strategy “to refocus recruiting resources on

Article

K&L Gates | USA | 5 Oct 2017

At the End of the Rainbow: A Custom Basket?

For several years now, the Securities and Exchange Commission (“SEC”) has placed strict limitations on the composition of exchange-traded fund (“ETF”)

Article

Osler Hoskin & Harcourt LLP | Canada | 14 Jul 2017

Division continues amongst Canadian securities regulators regarding best interest standard

Amid division across the Canadian securities regulators, the Ontario Securities Commission appears determined to move forward with a best interest

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

Bressler, Amery & Ross PC | USA | 5 May 2017

House Financial Services Committee Approves Revised Bill Repealing ERISA Fiduciary Rule and Best Interest Contract Exemption

We are issuing the latest update to our recent Alerts regarding the final rules issued by the Department of Labor ("DOL") with respect to fiduciaries

Article

Morgan Lewis | USA | 10 Apr 2017

DOL Fiduciary RuleSlowed Down, but Not Out

The Department of Labor (DOL) has issued in final form its eagerly awaited delay of changes to the fiduciary investment advice regulation, commonly

Article

Frost Brown Todd LLC | USA | 21 Mar 2017

DOL Edges Toward Delay on Expanded FiduciaryConflict of Interest Rules

Last year, the Department of Labor (DOL) finalized expansive changes in the definition of a "fiduciary" that applies to both ERISA-governed plans and

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