Paul Borden

Morrison & Foerster LLP

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Understanding the Standard of Care for Broker-Dealers and the Department of Labor’s Fiduciary Rule

Until recently, broker-dealers operating in the United States weren’t subject to a fiduciary standard when dealing with their retail clients. The passage of the Dodd-Frank Act in 2010 included a provision enabling the...more

1/12/2018 / Best Interest Contract Exemptions , Broker-Dealer , Department of Labor (DOL) , Dodd-Frank , Fiduciary Rule , Investment Adviser , Principal Transaction Exemption , Retirement , Securities and Exchange Commission (SEC) , Standard of Care

Structured Thoughts: News for the financial services community, Special Issue: Implications of the DOL Fiduciary Rule for...

On April 6, 2016, the Department of Labor (“DOL”) issued its final conflict of interest regulations, which significantly expand who is considered a fiduciary when dealing with a retirement account. The new regulations,...more

5/5/2016 / 401k , Best Interest Contract Exemptions , Broker-Dealer , Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Duty , Individual Retirement Account (IRA) , Investment Adviser , Retirement Plan , Structured Financial Products

Final Department of Labor Fiduciary Regulations Under ERISA

Earlier this week the Department of Labor (DOL) issued its long-anticipated final regulation (the “Regulation”) defining who is a fiduciary as a result of giving investment advice to plans subject to ERISA, to participants or...more

4/8/2016 / Department of Labor (DOL) , Employee Retirement Income Security Act (ERISA) , Fiduciary Duty , Individual Retirement Account (IRA) , Investment Adviser , Proposed Regulation

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