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THE “FIDUCIARY DUTY” RULE — WHAT NOW?

In Plain English A publication of THE SECURITIES LAW GROUP | James E. Grand | January 2017 As Donald Trump’s inauguration approaches, many are wondering what will happen to the DOL’s new fiduciary rule which governs advice to retirement plan assets. It is no secret...

PART 3: DRAFTING BICE CONTRACTS

The following blog is the third of a 3-part series on this topic. Under the new Fiduciary Rule, when relying on the Best Interest Contract Exemption (“BIC Exemption” or “BICE”), a written contract is required. The contract may be a separate agreement or its required...

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