Employee Retirement Income Security Act (ERISA)

These exemptions generally permit fiduciaries to receive compensation or other benefits as a result of the use of their fiduciary authority, control or responsibility in ...

The ERISA and Code provisions at issue generally prohibit fiduciaries with respect to employee benefit plans and individual retirement accounts (IRAs) from engaging in self-dealing in ...

This amendment permits investment advice fiduciaries to receive compensation when they extend credit to plans and IRAs to avoid a failed securities transaction. The amendment ...

The amended exemption allows fiduciaries and other service providers to receive compensation when plans and IRAs purchase insurance contracts, “Fixed Rate Annuity Contracts,” as defined ...

It can be challenging when you report to multiple regulators to keep their gifts and entertainment thresholds straight. The Department of Labor’s $250 annual threshold ...

As industry predictions contend that we’ll see a final Department of Labor fiduciary duty rule before the month is out, opponents of the rule point ...

The Midwest investment adviser had wended its way successfully through an SEC exam only months before an examiner from the Department of Labor arrived. Mere ...

The Department of Labor Jan. 28th sent its controversial fiduciary duty final rule to the federal Office of Management and Budget. OMB has 90 days to ...

This is a sample guide to comply with the Department of Labor's 408(b)-2 rule. This is simply a better designed version of a sample guide ...

For months, you’ve heard the dire warnings from many in the industry about the real world effects should the Department of Labor’s fiduciary duty proposal ...