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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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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 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

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