April 29, 2021

PLANADVISER Recaps Faegre Drinker ERISA Webinar on DOL Investigations of Investment Advisers

In “DOL Investigation Lessons Learned From Long Experience,” PLANADVISER outlined takeaways from a Faegre Drinker webinar on Department of Labor (DOL) investigations of registered investment advisers (RIAs) and broker-dealers (B-Ds) under the Employee Retirement Income Security Act (ERISA).

The publication highlighted the attorneys’ collective experience both inside and outside the DOL and Employee Benefits Security Administration and shared their advice for RIAs and B-Ds facing DOL investigations.

PLANADVISER also summarized the attorneys’ main points, including the general RIA and B-D review process, the investigation letter, timeframes and tolling agreements, document negotiations, investigation myths and misconceptions, and avoiding data dumping.

The group of attorneys included Bruce Ashton, Brad Campbell, Philip Gutwein, Doug Heffernan, Megan Hladilek and Joshua Waldbeser.


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