ERISA vista
Nonenforcement Policies
Some of the DOL’s prohibited transaction exemptions apply now.
Compliance Consult
Compliance
Compliance
‘Window’ of Opportunity
Brokerage accounts open up possibilities for service—but also for PTs.
DOL Provides Transitional Relief for Investment Advice Rules
A newly issued Field Assistance Bulletin provides that investment advice fiduciaries now have until January 31, 2022, to comply with the impartial conduct standards in the fiduciary prohibited transaction exemption announced at the end of 2020.
First Hints of Potential New DOL Fiduciary Rule Emerge
The Department of Labor has submitted a draft regulation to the Office of Management and Budget.