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DOL Issues Interpretative Guidance on Investment Advice Prohibited Transaction Exemption
Ropes & Gray LLPLink to more items from this source
[Guidance Overview]
Apr. 22, 2021

"The FAQs state that the DOL is reviewing issues of fact, law, and policy related to PTE 2020-02 ... [and] anticipates taking further regulatory and sub-regulatory actions ... including amending the investment advice fiduciary regulation to broaden the range of people who are fiduciaries under ERISA ... and amending or revoking some of the other existing class exemptions available to investment advice fiduciaries."

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