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DOL Update: Compliance with the Fiduciary Rule, Other DOL Initiatives, and Recent DOL Enforcement Activities

One-Hour Briefing  One-Hour Briefing

On April 6, 2016 the Department of Labor (DOL) released the long-awaited ERISA Fiduciary Regulation.  The rule re-writes the definition of “investment advice” and is accompanied by the Best Interest Contract Exemption, which sets forth a labyrinthine scheme of required terms, disclosures, and exception.  At the same time, DOL has been busier than ever aggressively pursuing its enforcement initiatives and filing litigation nationwide.  ...


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