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Last week, the Department of Labor put out a request for industry comment on the use of so-called brokerage windows in 401(k) and other ERISA ...
The Department of Labor may wish to develop "widely accepted benchmarks or other comparison tools" to help ERISA plan sponsors select investment managers, according to ...
A clear message to the Department of Labor from industry groups about the agency's proposed rule requiring a "guide" to adviser and other service providers' ...
Mark Davis owes his new CCO job to a three-year dispute his employer, DeWaay Capital Management ($185M in AUM) in Johnston, Iowa, had with the ...
A new proposed rule released last week by the Department of Labor would require advisers and broker-dealers to create a "guide" to make it easier ...
This proposed rule from 2014 would require certain service providers under ERISA, e.g., investment advisers and broker-dealers, to give the plan fiduciary a “guide” to ...
One-stop shopping eludes the whistleblower. Take the case of Eric Ben-Artzi. This month the former Deutsche Bank quantitative risk analyst went public with his whistleblower ...
The criterion includes a 5-part test and you must answer "yes" to each part
It's gone. That's how some are describing last week's action by the Department of Labor to replace an FAQ that had advisers to 401(k) and ...
You survived the new disclosures attached to ERISA rule 408(b)(2) (IA Watch, June 15, 2012) and now it's time to prepare for the second wave: ...