Magazine Articles

Investing ERISA plan money via a venture capital operating company.

PTE 20-02 complicates the meaning of investment advice.

PTE 2020-02 cannot resolve all conflicts of interest.

An REOC lets asset managers avoid ERISA limits.

Plan fiduciaries have a safe path to offering the products and features.

Professionals must meet this bar, to apply PTE 2020-02.

Brokerage accounts open up possibilities for service—but also for PTs.

Does relying on certain ‘go-to’ providers have implications under ERISA?

DOL guidance should prompt clients to ask for help with compliance.

Many recommendations may now be investment advice.

Advisers can find many ways to serve pooled employer plans.

DOL narrows focus in final rule to pecuniary factors.

The nuances of a qualified professional asset manager’s role.

DOL proposal could complicate this plan-fiduciary job.

A new proposal introduces a broad exemption for advisers.

Five takeaways from an OCIE Risk Alert.

Any size plan could be a target for fee litigation.

Effective means to broaden retirement plan access.

Must a plan’s security policies meet the duty of prudence?

Noted are proxy voting duties and rules for advisers.