DOL Confirms Fiduciary Prohibited Transaction Exemption Will Stand, For Now
In the coming days, the agency will publish related guidance for retirement investors, employee benefit plans and investment advice providers.
Tag: prohibited transactions
ERISA vista
The DOL’s Latest Proposed PTE
How advisers who only do rollovers would avoid prohibited transactions.
ERISA vista
A Return to Rollover Advice
The DOL revisits the potential for adviser/client ongoing relationships.
GAO Calls for DOL-IRS Collaboration on Prohibited IRA Transaction Exemptions
GAO says the two agencies do not share enough information on these exemptions, and that sharing more information would lead to greater transparency and consistency.
ERISA Industry Stakeholders Analyze Auto-Portability Potential
While enjoying broad support, at this early stage, it is unclear what responsibility a plan sponsor would retain for data security and accurate processing; in addition, auto-portability solutions...
Fiduciary Fitness
Statute of Limitations
Is there a continuing duty to monitor prohibited transactions?