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ERISA’s Five-Part Investment Advice Test - The DOL Changes Course

Thompson Hine LLP

Apr. 21, 2021
Recorded Online

In this session of our Coffee Chat series, we will examine the Department of Labor’s (DOL) recently updated parameters for determining when a person provides investment advice triggering ERISA fiduciary status as outlined in its five-part test. We will also delve into how the DOL’s interpretation of the five-part test has changed with respect to rollover recommendations and when investment professionals providing such recommendations become ERISA fiduciaries. Finally, we will discuss the availability of a new prohibited transaction exemption (PTE) to address the inherent conflicts of interest that arise when rollover recommendations rise to the level of investment advice.

We will discuss the following topics:

  • Background on the five-part test
  • The DOL’s past treatment of rollover recommendations
  • The DOL’s revised view
  • The new PTE and its application to rollover recommendations
  • Possible future related action by the DOL


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