Fiduciary Governance Blog
  • @FidGovGroup
  • About Us
  • Search

The flavors of fiduciary status under ERISA

George Michael Gerstein • September 18, 2019 September 3, 2019 • News • Tags: ERISA, Fiduciary Duties
What Do Most 401k Plan Sponsors Use: a 3(38) or a 3(21) Adviser? - FiduciaryNews
What Do Most 401k Plan Sponsors Use: a 3(38) or a 3(21) Adviser? - FiduciaryNews

If you think this evolution is amazing, just wait until you see what changes come about once the 401kMEP starts ramping up.
FiduciaryNews FiduciaryNews

Post navigation

Follow Stradley Ronon:
  

Check your inbox or spam folder to confirm your subscription.

Blog Authors

George Michael Gerstein

George Michael Gerstein advises financial institutions on the fiduciary and prohibited transaction provisions of ERISA. As co-chair of the fiduciary governance group, he assists clients with tracking, and understanding, the numerous fiduciary developments at the federal and state levels, including the rules and regulations of governmental plans. He also advises clients with respect to the fiduciary duty implications of ESG investing.

Lawrence P. Stadulis

Lawrence Stadulis advises clients in matters pertaining to the registration and regulation of investment advisers and investment companies under federal and state securities laws. He also manages related issues pertaining to investment advisers and investment companies, including matters involving ERISA, broker-dealer regulation and banking laws.

Sara P. Crovitz

Sara Crovitz, most recently Deputy Chief Counsel and Associate Director of the U.S. Securities and Exchange Commission’s Division of Investment Management, provides counsel on all aspects of investment company and investment adviser regulation. She worked at the SEC for 21 years, including 17 years in the Division of Investment Management focusing on issues under the Investment Company and Investment Advisers Acts of 1940. While in the Division, Sara supervised the provision of significant legal guidance to the investment management industry through no-action and interpretive letters, exemptive applications, IM guidance updates and other written and oral means.

William T. Mandia

William Mandia represents financial institutions and insurers in complex commercial and class action litigation. He regularly defends and advises life insurers, intermediaries, banks, broker-dealers, investment advisers, and other financial services providers in connection with sales practices claims arising from a wide range of financial and life insurance products, including, but not limited to, claims for alleged breach of fiduciary duty, fraud, and violations of state consumer protection laws.

Recent Posts

  • DOL reportedly ready to issue new proxy voting guidance this month
  • Significant private equity court ruling for certain ERISA vehicles
  • George Michael Gerstein comments on Pete Buttigieg’s public 401(k) option proposal
  • The implications for broker-dealers and investment advisers as Massachusetts and New Jersey gallop toward uniform standard of care
  • Massachusetts’ Fiduciary Rule Proposal Moving Forward

Archives

Categories

  • News
  • Risk & Reward
  • Uncategorized
The opinions expressed on this blog are those of the author and are not to be construed as legal advice.
Copyright © 2018 Stradley Ronon Stevens & Young, LLP. All rights reserved.
Stradley Ronon is a registered service mark of Stradley Ronon Stevens & Young, LLP.
Review our privacy policy and disclaimer (UPDATED 10/11/17).
This site uses cookies to ensure you get the best experience on our website. Find out more.