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The Proposed DOL Fiduciary Rule: Significant Changes for Advisers
This article discusses the DOL’s November 2023 proposed fiduciary rule amendments, including proposed amendments to Prohibited Transaction Exemption (PTE) 2020-02, and their impact on SEC-registered investment advisers.
November 30, 2023
The IAA Calls on Treasury for Two-Year Delay of the SECURE 2.0 Roth Catch-up Requirement
The IAA has signed on to a letter requesting that the Treasury Department provide transition relief so that retirement plan participants will not lose the ability to make catch-up contributions.
July 19, 2023
The IAA Calls on Congress for Two-Year Delay of the SECURE 2.0 Roth Catch-up Requirement
The IAA has signed on to a letter requesting that Congress to provide transition relief so that retirement plan participants will not lose the ability to make catch-up contributions.
June 14, 2023
The IAA supported the proposed safe harbor for the use of electronic disclosure, particularly the “notice and access” approach, and encouraged the Department of Labor to apply the safe harbor to documents furnished upon request and allow for consolidated delivery of documents.
November 22, 2019
This article discusses certain U.S. reporting and compliance obligations for advisers and private funds.
March 21, 2023
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
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
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
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