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A Long and Winding Road: DOL's Final Fiduciary Definition and Exemptions for Investment Advice
Eversheds Sutherland 
[Guidance Overview] May 10, 2024 68 pages. "Rollover advice is explicitly included in the regulation as a form of fiduciary advice.... PTE 2020-02 ... would be the flagship DOL exemption providing relief for conflicted investment advice ... Compliance with other 'best interest' and conflict mitigation regulations [does] not suffice under PTE 2020-02.... [T]he application of the Final Rule to insurance distribution remains complex.... [E]lements of the Final Rule create the predicate for a potential private right of action by IRA owners." MORE >> |
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