ERISA Compliance for Investment Advisors

By Emil Ali / January 27, 2021 / 0 Comments

The Employee Retirement Income Security Act of 1974, as amended (“ERISA”) applies to investment advisors and other securities professionals who advise, manage, or trade in accounts that are considered subject to ERISA (i.e., employee benefit/retirement plans).  With the recent withdrawal of the Department of Labor (“DOL”) “rollover rule,” some investment advisors have forgotten their compliance […]

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