Business Development


Archive by tag: regulationReturn

An Initial Examination of the DOL’s Proposed Regulations on the Conflict of Interest Rule

The Employee Retirement Income Security Act of 1974 (“ERISA”) is the statute that governs the non-tax aspects of the implementation and operation of an employee pension benefit plan (hereinafter “plan”), as defined in ERISA section 3(2). The Employee Benefits Security Administration (“EBSA”) division of the U.S. Department of Labor ("DOL") is tasked with the administration of ERISA.

Financial Advisor Summary of the New DOL Proposed Regulations on the Conflict of Interest Rule

The focus of this paper is to summarize for the retirement plan financial adviser the existing ERISA regulations impacting his or her practice and then to note how the proposed regulations issued by the Employee Benefits Security administration ("EBSA") on April 14, 2015 that change the definition of "investment advice fiduciary" would affect both the existing ERISA regulations and the current business practices of the adviser.




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