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Based on member feedback, we are in the process of redesigning our Resource Library, as well as working on an improved search feature. In the meantime, if you need assistance finding a resource or would like to discuss an issue with a member of the legal team, please contact us at IAALegalTeam@investmentadviser.org.

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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

Keywords: DOL, ERISA, PTE, QPAM

Categories & Topics: Compliance, ERISA & Pension Plans

Comments on DOL Proposal to Amend the Procedures Governing the Submission of Prohibited Transaction Exemption (PTE) Applications

We responded to a Department of Labor proposal to amend the procedures governing the submission of prohibited transaction exemption (PTE) applications. We strongly believe that eliminating the possibility of non-public discussions will significantly limit valuable informal discussions that would serve all parties well, including plans and plan participants.

October 07, 2022

Keywords: ERISA, PTE

Categories & Topics: Compliance, ERISA & Pension Plans

Comments on DOL Request for Information on Possible Agency Actions to Protect Life Savings and Pensions from Threats of Climate-Related Financial Risk

We responded to a Department of Labor request for information on how it can address climate-related financial risks in retirement plans. We urged the DOL that any potential rulemaking should be principles-based and the DOL should not explicitly or implicitly favor one type of investment strategy over another. We also recommended that the DOL should assess its recent ESG Proposal before any further rulemaking and should coordinate with the SEC prior to any potential rulemaking.

May 16, 2022

Keywords: ERISA, ESG

Categories & Topics: Compliance, ERISA & Pension Plans, ESG, Industry-Level

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