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21 results found


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


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


Calfee Halter & Griswold LLP | USA | 30 Jun 2016

SEC Calls For Adoption of Robust Business Continuity and Transition Plans By Investment Advisers

Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) under the Investment Advisers Act of 1940 have generally


Jorden Burt LLP | USA | 18 Aug 2011

New York High Court eyes Martin Act preemption

New York’s “blue sky” law, the Martin Act, has been a substantial impediment to certain types of private legal actions involving securities.


Fox Rothschild LLP | USA | 5 Jul 2011

DOL proposes expanded definition of “fiduciary” and releases other new rules, increasing exposure of financial advisors

The Employee Benefits Security Administration (EBSA) of the Department of Labor (DOL) has proposed dramatic changes to the rules that govern the relationship between employee benefit plans and those who provide investment advice and other financial services to plans and plan participants.


Eversheds Sutherland (US) LLP | USA | 9 Jun 2011

DOL opines on QPAM issue in stable value context

For the second time in 2011, the U.S. Department of Labor (DOL) has issued an ERISA advisory opinion that considers the PTE 84-14 qualified professional asset manager (QPAM) exemption, this time in the stable value context.


Reinhart Boerner Van Deuren SC | USA | 22 Mar 2011

DOL discusses selection of broker-dealer

In Advisory Opinion 2011-06A, an asset manager, as a matter of policy, would not execute trades for ERISA-covered plans through a remotely affiliated broker-dealer because of concern that it might result in a prohibited transaction.


Dechert LLP | USA | 27 Oct 2010

DOL proposes new ERISA “fiduciary” definition

The Department of Labor ("DOL") issued a proposed regulation on October 21, 2010 that would, if adopted, modify an existing regulation to more broadly define the circumstances under which a person is considered to be a "fiduciary" under the Employee Retirement Income Security Act of 1974 ("ERISA") and Section 4975 of the Internal Revenue Code as a result of giving investment advice to an IRA, an employee benefit plan or a plan's fiduciaries, participants or beneficiaries.


Eversheds Sutherland (US) LLP | USA | 25 Oct 2010

DOL proposes to expand “fiduciary” status under ERISA

On October 22, 2010, the U.S. Department of Labor (DOL) proposed to replace its long-standing regulation defining the circumstances in which investment advice confers “fiduciary” status under ERISA, with a new, more expansive definition.


Gibson Dunn & Crutcher LLP | USA | 1 Oct 2010

Disclosure of adviser conflicts - when is it enough?

Investment advisers have a duty to disclose material conflicts of interest to clients.

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