Tag: DoL

How Advisers Serving MEPs and PEPs Can Be Conflicted

The most obvious potential conflict of interest for advisers setting up or serving pooled employer plans is if their practice is affiliated with the investments being selected—but there are other potential pitfalls to acknowledge.

EBSA’s E-Disclosure Rule Is Final

The standard, letting employers opt for electronic vs. print reporting, is a highlight of the agency’s departed assistant secretary’s tenure.

New ESG Regulation Expected Soon from DOL

Despite the frequent publication of regulatory guidance—or perhaps because of it—there remains a lot of confusion about how retirement plan fiduciaries should think about environmental and social justice issues while building investment lineups.

Assessing the State of Trump’s EBSA

The Employee Benefits Security Administration is among the regulators with the most direct influence over the retirement planning industry. It gets a new leader at the end of the month.

Staying Audit Ready in a Turbulent Time

As one might expect, what the Department of Labor (DOL) and the Securities and Exchange Commission (SEC) are particularly interested in is how advisers are paid.