IAA Today Archive

GOP Plans to Nullify DOL ESG Rule

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February 03, 2023

Keywords: Congress, DOL, ESG

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

Few Big Changes in New Regulatory Agendas, Ambitious Rulemakings to Persist

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January 09, 2023

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

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

The IAA Recommends Changes to Proposed QPAM Exemption

The DOL’s proposed new QPAM Exemption requirements would significantly narrow the availability of the exemption and make it more difficult for advisers to use. While we support efforts to protect the interests of plans and plan participants and beneficiaries, we are concerned that the QPAM Exemption proposal’s potential impacts will have negative consequences.

October 19, 2022

Keywords: DOL, ERISA, PTE, QPAM

Categories & Topics: Compliance, ERISA & Pension Plans

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