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On April 23, the U.S. Department of Labor (DOL) published the “Retirement Security Rule: Definition of an Investment Advice Fiduciary,” which makes changes to the definition of “...
On March 15, the White House Office of Management and Budget ("OMB") released a final amendment to Prohibited Transaction Exemption 84-14...
Every year, investment advisors registered with the SEC face the thankless task of reviewing their policies and procedures to determine their adequacy and effectiveness as required by...
On December 18, 2020, the United States Department of Labor (the DOL) adopted Prohibited Transaction Exemption 2020-02, Improving Investment Advice for Workers & Retirees (PTE 2020-02...
This series focuses on the DOL’s new fiduciary “rule”, which was effective on February 16. This article looks at the Department of Labor’s recent extension of its non-enforcement policy...