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Rollover Recommendations – Do the SEC and DOL Requirements Align? | Faegre Drinker Biddle & Reath LLP

The SEC and the DOL have separately issued guidance on rollover recommendations – however, a close examination indicates that the guidance by both agencies is very similar. The SEC’s.

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Recent SEC Enforcement Actions Highlight SEC Focus on Adviser Fiduciary Duty When Recommending and Reviewing Account Types | Dechert LLP

The Securities and Exchange Commission recently brought two enforcement actions that highlight the SEC’s focus on the investment adviser fiduciary duties, particularly as applied to.

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Best Interest Standard of Care for Advisors #94: Maintenance of Documentation for Compliance with PTE 2020-02 | Faegre Drinker Biddle & Reath LLP

The DOL’s expanded definition of fiduciary advice is described in the preamble to PTE 2020-02. When conflicted fiduciary advice is given to retirement investors (that.

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Best Interest Standard of Care for Advisors #92: Consideration of Costs in the Evaluation of Rollovers | Faegre Drinker Biddle & Reath LLP

The DOL’s expanded definition of fiduciary advice is described in the preamble to PTE 2020-02. The PTE then provides relief for conflicted non-discretionary recommendations (for.

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Best Interest Standard of Care for Advisors #91: Rollover Recommendations to Participants in Government Plans | Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #91: Rollover Recommendations to Participants in Government Plans | Faegre Drinker Biddle & Reath LLP
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