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DOL Proposes Updated Definition of Investment Advice Fiduciary

The Department of Labor (DOL) has issued a proposal to update the definition of an investment advice fiduciary under the Employee Retirement Income Security Act (ERISA). The updated definition of an investment advice fiduciary would apply when a financial service provider gives investment advice for a fee to retirement plan participants, IRA owners and others.

November 01, 2023

Keywords: DOL, ERISA, Fiduciary, IRAs, Retirement Plans

Categories & Topics: Compliance, ERISA & Pension Plans

Legal Context of Defined Contribution Plan for Fiduciaries

One of the core responsibilities of defined contribution plan fiduciaries is selecting the investment options that will be available to participants in the plan. This paper summarizes the principles governing the exercise of that responsibility in 50 years of law, regulation, regulatory guidance, and court decisions.

December 13, 2022

Keywords: Due Diligence, ERISA, ESG, Fiduciary

Categories & Topics: Compliance, ERISA & Pension Plans, Fiduciary

Comments on DOL Proposal to Amend the QPAM Exemption

The IAA responded to a Department of Labor proposal to amend the QPAM Exemption. While we support the DOL’s efforts to protect the interests of Plans and Plan participants, we are concerned that the potential impacts of the proposal would extend beyond these objectives and would have negative consequences that may not be in the best interest of Plans and their participants.

October 11, 2022


Categories & Topics: Compliance, ERISA & Pension Plans

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