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Fiduciary Framework For Investment By Defined Contribution Plans In Alternative Assets
With the maturing, growth and increasing importance of defined contribution plans to the retirement security of US employees
United States
15 Jul 2019
Collective Investment Trusts – What DC Plan Fiduciaries Should Know
This blog provides a number of examples of issues that plan fiduciaries who are not familiar with CITs could miss.
United States
18 Jan 2018
DOL Fiduciary Rule Update – Where Are We Now?
The take away for plan fiduciaries is that the landscape for the Fiduciary Rule is likely to change significantly, but not in the near future.
United States
18 Jan 2018
First Look At DOL's Final Fiduciary Rule
On April 6, 2016, the Department of Labor (DOL) released in final form its massive package of rules, exemptions and amendments to existing exemptions that comprise its Fiduciary Rule.
United States
14 Apr 2016
Early Reactions To The US Department Of Labor's Fiduciary Re-Proposal
The US Department of Labor's long-anticipated proposed amendment to regulations defining "investment advice" for the purpose of determining who is a fiduciary (the "DOL Fiduciary Re-Proposal")
United States
20 Jul 2015
Summer 2014 Fund Finance Market Review
n this Summer 2014 edition of our Fund Finance Market Review, we discuss some of the more noteworthy trends impacting the subscription credit facility and fund finance markets.
United States
7 Aug 2014
Proposed Amendment To Service Provider Fee Disclosure Rules
On March 12, 2014, the US Department of Labor (DOL) proposed an amendment to its fee disclosure regulation under Section 408(b)(2) of the Employee Retirement Income Security Act of 1974.
United States
2 Apr 2014
Deadlines And Developments Employee Benefits & Executive Compensation Update - December 2013
Following is a list of significant developments and deadlines in the areas of Welfare Plans, Qualified Plans and Executive Compensation.
United States
2 Jan 2014
ERISA Exemptions For ABS And MBS Amended
The US Department of Labor (the "DOL") has issued individual exemptions (the "Underwriter Exemptions") under ERISA to a number of institutions that serve as underwriters or placement agents for asset-backed and mortgage-backed securities.
United States
29 Jul 2013
Court Rejects PBGC Position That An Investment Fund Is Part Of A Controlled Group For Purposes Of Pension Liabilities Of A Portfolio Company
Late in 2012, in Sun Capital Partners v. New England Teamsters ("Sun Capital"),1 a federal district court in Massachusetts (the "District Court") held that certain private equity funds were not trades or businesses that could be held jointly and severally liable for the pension obligations of a portfolio company in which such funds had invested.
United States
12 Feb 2013
US Department of Labor Issues Final Rule on Service Provider Fee Disclosure
On February 3, 2012, the US Department of Labor (DOL) issued a final rule (the Final Rule) amending its longstanding regulations interpreting the statutory exemption for the provision of plan services under Section 408(b)(2) of the Employee Retirement Income Security Act (ERISA).
United States
24 Feb 2012
Emerging Issues under Interim Final Regulation on Plan Service Provider Fee Disclosure (New Effective Date)
On July 16, 2010, the US Department of Labor (DOL) issued an interim final regulation (the Regulation) amending its longstanding regulations interpreting the statutory exemption for the provision of plan services under Section 408(b)(2) of the Employee Retirement Income Security Act (ERISA).
United States
25 Feb 2011
US Department of Labor Proposes to Expand Scope of "Fiduciary" Status under ERISA
The US Department of Labor’s Employee Benefits Security Administration (DOL) has released a proposed amendment to its regulation defining the circumstances under which a person or an entity is considered to be a "fiduciary" under the Employee Retirement Income Security Act (ERISA) by reason of rendering "investment advice" to an ERISA plan.
United States
15 Nov 2010
DOL Issues Further Guidance On New Annual Reporting Requirements For Investment Fund Service Provider Compensation
On July 14, 2008, the Department of Labor (DOL) issued FAQs (frequently asked questions) intended to help with the administration and implementation of new annual reporting requirements issued on November 16, 2007, in the form of a revised Form 5500, applicable to most ERISA plans.
United States
23 Jul 2008
Reporting Gifts, Entertainment And Other Payments To Union Officers Or Employees
The Department of Labor (the “DOL”) maintains an “advisory” and a set of Frequently Asked Questions (“FAQ”) 1 on an employer’s duty to report gifts and other payments to any labor organization or its officers, employees, or representatives.
United States
15 May 2008
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