Tag: DOL
DOL Adopts Registration Requirements for Pooled Plan Providers
The 2019 SECURE Act created a new type of multiple employer retirement plan called a pooled employer plan (PEP). The Act requires that each PEP be administered by a pooled...
November 17, 2020
Tags: DOL, ERISA, Retirement Plans, SECURE Act
Fall 2019 Regulatory Agendas Released; SEC Moves Accredited Investor to Short-Term Agenda, Adds Form 13F Filer Threshold November 27, 2019 Federal agencies recently released the Fall update to their...
November 27, 2019
Tags: Advertising Rule, AML, CFTC, Custody, DOL, FinCEN, Regulatory Agendas
DOL Issues COVID-19 Relief from ERISA Deadlines For Plans and Participants
DOL Issues COVID-19 Relief from ERISA Deadlines for Plans and Participants May 6, 2020 The Department of Labor (DOL) has provided relief from certain deadlines under ERISA “to help...
May 06, 2020
Tags: Coronavirus, COVID-19, DOL, ERISA, Retirement Plans, SBA
DOL Adopts E-Delivery Rule Supported by IAA
DOL Adopts E-Delivery Rule Supported by IAA May 27, 2020 In a highly-anticipated and welcome move, the Department of Labor has adopted a rule permitting electronic delivery of certain...
May 27, 2020
Tags: DOL, Electronic Delivery, Retirement Plans
DOL ERISA Proposals Single Out ESG Investments for Extra Scrutiny
DOL ERISA Proposals Single Out ESG Investments for Extra Scrutiny Amendments Would Make It More Difficult to Include ESG Options in Plans July 1, 2020 The DOL has proposed...
July 01, 2020
Tags: Retirement Savings, DOL, ERISA, Retirement Plans
DOL Advice Proposal Confirms Five-Part Fiduciary Test, Includes Class Exemption Based on Impartial Conduct Standards July 1, 2020 (updated July 31, 2020) Two years after its fiduciary rule was vacated,...
July 01, 2020
SEC’s Roisman: More ESG Disclosures from Asset Managers, But Not Public Companies
SEC’s Roisman: More ESG Disclosures from Asset Managers, But Not Public Companies Signals Proxy Rule is Forthcoming July 10, 2020 In a recent speech to the Society for Corporate...
July 10, 2020
Tags: DOL, Elad Roisman, ESG
IAA to DOL: Provide More Time for Considered Response to Sweeping ESG Proposal
IAA to DOL: Provide More Time for Considered Response to Sweeping ESG Proposal July 21, 2020 The IAA joined several other trade associations on July 20 to ask the...
July 21, 2020
IAA Comments on DOL’s Proposed Fiduciary Exemption
The IAA has submitted a comment letter to the Department of Labor on that agency’s proposed fiduciary exemption. The proposed exemption is intended to replace the DOL’s 2016 fiduciary rule,...
August 10, 2020
Tags: Compliance, Digital Advice, DOL, Fiduciary
IAA Urges DOL to Withdraw ESG Proposal
The IAA recently submitted a comment letter asking the DOL to withdraw its proposed amendments to its ERISA investment duties regulation regarding ESG investments. The proposed amendments would make it...
August 11, 2020
Tags: Active Management, Active Managers Council , DOL, ERISA, ESG
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