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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

Comments on DOL Proxy Proposal

The IAA strongly opposed and urged the DOL to withdraw its proposal on proxy voting and the selection and monitoring of proxy advisory firms because it represents a significant departure on how plan fiduciaries view their proxy voting responsibilities, and would substantially increase compliance costs without providing measurable benefits to plan participants and beneficiaries.

October 05, 2020

Keywords: DOL, Proxy Advisory Firms, Proxy Voting

Categories & Topics: Compliance, ERISA & Pension Plans, Proxy Voting

Comments on DOL Proposed Fiduciary Exemption

The IAA submitted a comment letter to the DOL recommending that the DOL confirm that “hire me” discussions are not fiduciary investment advice. The IAA also recommended that the class exemption cover all types of digital advice and should permit greater flexibility for overseeing compliance with policies and procedures.

August 06, 2020

Keywords: DOL, Fiduciary

Categories & Topics: Compliance, ERISA & Pension Plans

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