Explore Fred’s latest insights on fiduciary responsibility, ERISA developments, retirement policy, regulatory guidance, and the evolving landscape of financial and retirement services.
Key Takeaways The private fund industry is making inroads into 401(k) plans—attracted by the assets in those plans. The Trump administration has indicated that it will reduce the requirements for retail investors to invest in private funds (e.g., by lowering the accredited investor and qualified purchaser thresholds). It seems likely
Key Takeaways The Department of Labor’s Employee Benefits Security Administration (EBSA) issued Compliance Assistance Release (CAR) 2022-01 that caused concerns among plan sponsors and fiduciaries about the use of cryptocurrencies in participant directed plans. On May 28 of this year, the DOL’s EBSA rescinded that CAR. That should have the
Key Takeaways FINRA’s 2025 Annual Regulatory Oversight Report 2025-annual-regulatory-oversight-report.pdf included a focus on issues related to retirees and senior investors. The Report provides guidance to broker-dealers about the priorities of FINRA in its regulation, supervision and enforcement programs for broker-dealers. In other words, it is one of FINRA’s ways of
Key Takeaways FINRA’s 2024 Annual Regulatory Oversight Report 2024 FINRA Annual Regulatory Oversight Report | FINRA.org included a focus on issues related to retirees and senior investors. The Report provides guidance to broker-dealers about the priorities of FINRA in its regulation, supervision and enforcement programs for broker-dealers. In other words,
Key Takeaways The Employee Benefit Security Administration (EBSA) of the US Department of Labor (DOL) recently released its Fact Sheet: EBSA Restores Nearly $1.4 Billion to Employee Benefit Plans, Participants, and Beneficiaries: ebsa-monetary-recoveries.pdf One of the targets of their investigation is “missing participants”. The DOL refers to that program as
Take a quick dive into the exciting world of ERISA with Faegre Drinker benefits and executive compensation attorneys Fred Reish and Brad Campbell. In this quick-hit series of updates, Fred and Brad offer a high-level view of current trends and recent ERISA developments. See the newest episode, The Trump Administration
Thanks for subscribing to Fred Reish’s industry updates.
New articles and insights will be delivered directly to your inbox.