IA- Dept. of Labor (DOL) Fiduciary Rule Procedures (Level Fee Fiduciary)
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IA- Dept. of Labor (DOL) Fiduciary Rule Procedures (Level Fee Fiduciary)

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The Dept. of Labor (DOL) Fiduciary Rule Procedures are designed for investment adviser firms that may be defined as a "fiduciary" of an employee benefit plan under the Employee Retirement Income Security Act of 1974 (ERISA) (including an individual retirement account (IRA) under the Internal Revenue Code of 1986) as a result of giving investment advice to a plan or its participants or beneficiaries.  The DOL Procedures focus on investment advisers operating under a level fee fiduciary exemption utilizing a streamlined Best Interest Contract (BIC) and include eight separate sections to address DOL compliance and regulatory focal points in addition to two corresponding exhibits. Version/Update: V.5/June 2, 2017 Total Page Count: 25 Source/Author(s): Connexien

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