Government Relations Committee Meeting Minutes
Group agreed that SPARK Institute representatives should meet with Phyllis Borzi to ensure she is aware of our previously submitted comment letter and concerns. CONFIDENTIAL Investment Advice – The group agreed that SPARK Institute representatives should meet ... Access Full Source
Phyllis C. Borzi has come a long way since her days as a high school English teacher. the department proposed changes in how investment advice is given to retirement plan participants, including a controversial exemption that would allow unbiased ... Doc Viewer
Lockton Financial Advisors/Investment Advisors
Lockton Financial Advisors/Investment Advisors In announcing the extended applicability date, Phyllis Borzi, Assistant Secretary of the DOL's Employee Benefits Security Nothing in this message should be construed as legal advice. ... Document Retrieval
Managing ERISA Fiduciary Risk A Sea Of Change
By Phyllis Borzi on April 4, 2012, assistant secretary of labor for the Employee Benefits Security Administration be able to offer participants investment advice due to the prohibited conflict of interest under ERISA. For Internal Use Only ... Doc Viewer
PowerPoint Template B - Triangle Benefits Forum
Phyllis Borzi Comments on EBSA. Legislative Agenda. Fee Disclosure. Form 5500 and EFAST2. DOL Correction – VFCP and DFVC. DOL Investigations. Investment Advice. 403(b)s from Title I Perspective. ERISA Litigation. DOL Speaks 2009 Benefits Conference Overview. ... Return Doc
URGENT: FSI Applauds DOL Fiduciary Rule Withdrawal
Protections to business owners and retirement savers in plans and IRAs," said EBSA Assistant Secretary Phyllis C. Borzi. "Investment advisers shouldn't be able to steer retirees, which defines when a person providing investment advice becomes a ... View This Document
MB-4 Developments In Savings And Retirement Plans
Phyllis Borzi U.S. Department of Labor James Fleckner Goodwin Procter LLP Peter Haller Credit Suisse William Ryan NOT Personalized Investment Advice Personalized Investment Advice Account type: RETAIL CUSTOMER Suitability std * (for BDs – No Change) (NEW ... Read Document
DOL Fiduciary
Phyllis C. Borzi . Assistant Secretary . Employee Benefits Security Administration . U.S. Department of Labor . 200 Constitution Ave., NW . investment advice when real estate appraisers, in the normal course of their practice, do real estate appraisals ... Access Doc
TESTIMONY OF PHYLLIS C. BORZI ASSISTANT SECRETARY OF LABOR ...
TESTIMONY OF PHYLLIS C. BORZI . ASSISTANT SECRETARY OF LABOR . EMPLOYEE BENEFITS SECURITY ADMINISTRATION . BEFORE THE . US SENATE COMMITTEE ON . Investment Advice . Many workers need help in managing their plan investments. By encouraging plan ... Return Document
Is Your Apprenticeship Fund Prepared For A DOL Audit?
Secretary of Labor Phyllis Borzi reported that the DOL has more than 80 cases in the pipeline dealing with apprenticeship and training funds. tax advice, accounting services, investment advice, or professional consulting of any kind. ... Doc Viewer
Brian L. Davie LCB Nevada Public Employees’ Deferred ...
One keynote speaker was Assistant Secretary of the Department of Labor (DOL), Phyllis Borzi. target date fund is the first line in offering investment advice to participants rather than attempting to change their behavior through education. ... Get Content Here
Supporting Retirement For American Families
The Honorable Phyllis C. Borzi Assistant Secretary of Labor Supporting Retirement for American Families IRA marketplace for investment advice •Similar protections for employers, especially small employers Conclusion . Title: U.S. Department of Labor ... Fetch Document
News Release Http://social.dol
Secretary Phyllis C. Borzi. “Investment advisers shouldn’t be able to steer retirees, workers, small businesses fiduciary advice is limited to individualized advice directed to specific parties, responding to concerns about the ... Visit Document
Request For Information Regarding Lifetime Income Options For ...
The Honorable Phyllis Borzi . Assistant Secretary, Employee Benefit . Security Administration . Department of Labor . Washington, DC 20210-0002 . considered the provision of “investment advice,” which would give rise to fiduciary status ... Access This Document
A Report To Clients And Friends Of The Firm November 2011 In ...
Testimony of Phyllis C. Borzi, Assistant Secretary of Labor, before the House Committee on Education & the Workforce, Subcommittee on Health, of ERISA’s “investment advice for a fee” language. ERISA Litigation. 7 . ERISA Litigation. 8 . ... Get Content Here
Labor Dept. Issues Rule On 401(k) Advice
Personalized investment advice for workers in retirement savings plans, Assistant Secretary of Labor Phyllis Borzi said. Advisers to 401(k)-type plans or IRAs will be able to recommend investments and ... Return Document
On October 23rd, Phyllis Borzi, Assistant Secretary of Labor for EBSA, outlined the 2013 agenda distinguish investment advice from investment education and to clarify that “investment advice does not encompass advice about [annuity] distribution issues.” ... Fetch Here
To Our Clients And Friends Memorandum - Fried Frank > Home
Investment Advice Context Introduction The U.S. Department of Labor (the “DOL”) recently published a proposed rule that would amend the Administration, Phyllis Borzi, it seems the DOL is aware that the Proposed Regulation is likely to lead to ... Get Doc
DOL Is Setting Its Sights On Apprenticeship Training Plans
Secretary of Labor Phyllis Borzi noted that EBSA has found many instances in a SEC registered investment advisor. For California, Lockton Financial Advisors, LLC, d.b.a. Lockton Insurance Services, LLC, license number 0G13569. Nothing in this message should be construed as legal advice. ... Read Document
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