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Best Interest Standard of Care for Advisors #51 | Faegre Drinker Biddle & Reath LLP

The Department of Labor’s “Fiduciary Rule,” PTE 2020-02 (Part 16): Mitigation Strategies
This series focuses on the DOL’s new fiduciary “rule”. This post is the 16th in a subseries discussing special compliance issues related to the rule. This article looks at compliance with the rule’s mitigation requirements, with particular emphasis on broker-dealers and investment advisers.
On February 16, 2021, the DOL’s prohibited transaction exemption (PTE) 2020-02 became effective. (Improving Investment Advice for Workers & Retirees) It allows investment advisers, broker-dealers, banks, and insurance companies (“financial institutions”), and their representatives (“investment professionals”), to receive conflicted compensation resulting from non-discretionary fiduciary investment advice to retirement plans, participants and IRA owners (“retirement investors”). ....

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Best Interest Standard of Care for Advisors #50 | Faegre Drinker Biddle & Reath LLP

The Department of Labor’s “Fiduciary Rule,” PTE 2020-02 (Part 15): Mitigation Strategies
This series focuses on the DOL’s new fiduciary “rule”. This post is the 15th in a subseries discussing special or unique compliance issues related to the rule. This article looks at compliance with the rule’s mitigation requirements, with particular emphasis on broker-dealers and investment advisers.
On February 16, 2021, the DOL’s prohibited transaction exemption (PTE) 2020-02 became effective. (Improving Investment Advice for Workers & Retirees) It allows investment advisers, broker-dealers, banks, and insurance companies (“financial institutions”), and their representatives (“investment professionals”), to receive conflicted compensation resulting from non-discretionary fiduciary investment advice to retirement plans, participants and IRA owners (“retirement investors”). ....

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Best Interest Standard of Care for Advisors #49 | Faegre Drinker Biddle & Reath LLP

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The Department of Labor’s “Fiduciary Rule,” PTE 2020-02 (Part 14): The Two Compensation Requirements: Reasonable Compensation and Mitigation
This series focused on the DOL’s new fiduciary “rule”. This post is the 14th in a subseries discussing special or unique compliance issues related to the rule. This article looks at the issues related to complying with the rule’s reasonable compensation and mitigation requirements, with particular emphasis on broker-dealers and investment advisers.
On February 16, 2021, the DOL’s prohibited transaction exemption (PTE) 2020-02 became effective. (Improving Investment Advice for Workers & Retirees) It allows investment advisers, broker-dealers, banks, and insurance companies (“financial institutions”), and their representatives (“investment professionals”), to receive conflicted compensation resulting from non-discretionary fiduciary investment advic ....

Faegre Drinker Biddle Reath , Financial Institution , Department Of Labor Fiduciary Rule , Financial Institution Or Investment , Faegre Drinker Biddle , Two Compensation Requirements , Reasonable Compensation , Improving Investment Advice , Internal Revenue , Impartial Conduct Standards , Two Compensation , Frequently Asked Questions , Impartial Conduct , Investment Professional , நிதி நிறுவனம் , துறை ஆஃப் தொழிலாளர் நம்பகத்தன்மை ஆட்சி , நிதி நிறுவனம் அல்லது முதலீடு , ரீஸநபல் இழப்பீடு , உள் வருவாய் , நடுநிலை நடத்தை தரநிலைகள் , அடிக்கடி என்று கேட்டார் கேள்விகள் , நடுநிலை நடத்தை , முதலீடு ப்ரொஃபெஶநல் ,

PTE 2020-02 for Investment Advice Fiduciaries: Overview and Checklist | Kilpatrick Townsend & Stockton LLP

Overview: In general, the prohibited transaction rules (in ERISA and the Tax Code) (1) prohibit fiduciaries that provide investment advice to plans subject to Title I of ERISA. ....

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Best Interest Standard of Care for Advisors #46 | Faegre Drinker Biddle & Reath LLP

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The Department of Labor’s “Fiduciary Rule”, PTE 2020-02 (Part 11): The Requirement that Investment Advisers and Broker-Dealers Mitigate Conflicts
On February 16, 2021, the DOL’s prohibited transaction exemption (PTE) 2020-02 became effective. The PTE is titled “Improving Investment Advice for Workers & Retirees.” It allows investment advisers, broker-dealers, banks, and insurance companies (“financial institutions”), and their representatives (“investment professionals”), to receive conflicted compensation resulting from non-discretionary fiduciary investment advice to retirement plans, participants and IRA owners (“retirement investors”).
In the preamble to the PTE, the DOL announced an expanded definition of fiduciary advice, meaning that many more financial institutions and investment professionals will be fiduciaries and therefore will need the protections afforded by the exemption ....

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