CCA benefited from this arrangement by deferring payment on its legal costs for multiple years
This revision of the Labor Department's so called rollover exemption, PTE 2020-02, goes into effect Sept. 23, 2024 but firms will have one year after ...
The DOL maintains its new rule is 'generally consistent' with the SEC’s fiduciary duty interpretation for advisers and Reg BI for B-Ds
Compliance advice in new advertising risk alert, a first peek at the DOL's final fiduciary duty rule, more Reg BI cases and much more
Risk alert identifies shortcomings in advisers' P&Ps which "resulted in gaps for preventing violations of the marketing rule, books and records rule, or both"
Enforcement director cautions that given the continued noncompliance in the crypto space, investors have "good reason" to be concerned about crypto's reliability and safety
This is the DOL's final rule creating a new definition of an ERISA fiduciary
This document contains a notice of amendment to class prohibited transaction exemption (PTE) 2020-02, which provides relief for investment advice fiduciaries to receive certain compensation ...
This document contains a notice of amendment to Prohibited Transaction Exemption (PTE) 84-24, an ERISA exemption from certain prohibited transactions
This document contains a notice of amendments to Prohibited Transaction Exemptions (PTEs) 75-1, 77-4, 80-83, 83-1, and 86-128, which are class exemptions from certain prohibited ...