DOL Publishes 1st List of Firms Using Qualified Plan Exemptions
The list includes nearly 900 companies as part of the DOL’s finalized amendment to PTE 84-14.
Tag: QPAM
DOL Creates More Ways for QPAMs to Be Disqualified
The rule adds kinds of misconduct that could result in disqualification and requires managers to also indemnify their clients if...
DOL to Extend UBS, Credit Suisse 401(k) Asset Management Exemption
The DOL proposes extending for one year beyond their merger the exemptions being used by UBS and Credit Suisse to...
EBSA Provides More Time for QPAM Exemption Proposal Comments
The proposed changes to the QPAM exemption can now receive public comment until April 6.
EBSA Head Says Disclosure, SECURE 2.0, ESG Are Key Priorities
EBSA’s Lisa Gomez identified upcoming regulatory priorities related to SECURE 2.0 and the importance of effective disclosure at a conference...
What Do the Mid-Terms Mean for ESG and SECURE 2.0?
ESG-minded investors have cause for concern, as Republicans prepare to take control of the House.
DOL Hosts Public Hearing on QPAM Proposal
The commentators and DOL representatives had stark disagreements on the implications of some the proposal’s provisions.
ERISA Industry Committee Comments in Opposition to New DOL QPAM Rule
The DOL has proposed that QPAMs would be disqualified for 10 years for foreign convictions and for entering into non-prosecution...