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
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
The IAA Recommends Changes to Proposed QPAM Exemption
The DOL’s proposed new QPAM Exemption requirements would significantly narrow the availability of the exemption and make it more difficult for advisers to use. While we support efforts to protect the interests of plans and plan participants and beneficiaries, we are concerned that the QPAM Exemption proposal’s potential impacts will have negative consequences.
October 19, 2022
The ERISA Fiduciary Advice Exemption
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June 23, 2022
IAA Comments to DOL on Addressing Climate-Related Financial Risks in Retirement Plans
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May 25, 2022
DOL Provides Guidance on the Use of Cryptocurrencies in ERISA Plans
The DOL cautions plan fiduciaries to exercise extreme care before they consider adding a cryptocurrency option to a 401(k) plan’s investment menu for plan participants.
March 11, 2022
Supreme Court Reaffirms Duties of ERISA Fiduciaries to Monitor and Update Plan Options
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January 26, 2022
DOL Will Not Enforce ESG and Proxy Rules, Pending Agency Review
DOL Will Not Enforce ESG and Proxy Rules, Pending Agency Review March 10, 2021 In a welcome development, the Department of Labor has announced that it intends to revisit...
March 10, 2021
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