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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 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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