IAA Today Archive

DOL Proposes to Narrow Prohibited Transaction Exemption for Qualified Professional Asset Managers

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August 10, 2022

Keywords: DOL, PTE, QPAM

Categories & Topics: Compliance, ERISA & Pension Plans

Agencies Update Regulatory Agendas, Custody Rule Proposal Expected Soon

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June 27, 2022

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, Business Ops/HR, CFTC, Compliance, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Industry-Level, Proxy Voting

The ERISA Fiduciary Advice Exemption

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June 23, 2022

Keywords: DOL, ERISA, Fiduciary

Categories & Topics: Compliance, ERISA & Pension Plans, Fiduciary

IAA Comments to DOL on Addressing Climate-Related Financial Risks in Retirement Plans

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May 25, 2022

Keywords: DOL, ERISA, ESG

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

A Proxy Voting Primer for Uncertain Times

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March 23, 2022

Keywords: DOL, Proxy Advisory Firms, Proxy Voting, SEC

Categories & Topics: Business Ops/HR, Compliance, Compliance Programs, Proxy Voting

DOL Pulls Back on 2020 Statement on Use of Private Equity in Defined Contribution Plans

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January 04, 2022

Keywords: DOL, Private Equity

Categories & Topics: Business Ops/HR, Compliance, ERISA & Pension Plans, Private Funds

IAA Supports the DOL ESG and Proxy Proposal with Recommended Changes

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December 21, 2021

Keywords: DOL, ESG, Proxy Voting

Categories & Topics: ERISA & Pension Plans, ESG, Proxy Voting

Agencies’ Regulatory Agendas Include AML, Cybersecurity, ESG, and More

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December 15, 2021

Keywords:  Money Market Funds, AML, CFTC, Custody, Cybersecurity, DOL, ESG, Private Funds, Proxy Voting, Regulatory Agendas, SEC Investment Management

Categories & Topics: AML/OFAC, CFTC, Cybersecurity/Privacy, ERISA & Pension Plans, ESG, Proxy Voting