Regulatory Oversight, Investment, Employee Benefits

Everyday Investor Participation in Private Strategies: What Role for Investor Advocate in SEC Drama?

Carlton Fields on 8/26/2025

The SEC is under pressure to increase direct or indirect participation by everyday “retail” investors (consisting primarily of those who do not qualify as “accredited investors” under SEC Regulation D) in certain investment...more

The Pensions Brief: June 2025

Mayer Brown on 6/3/2025

ISSUES AFFECTING ALL SCHEMES - MARKET VOLATILITY – PENSIONS REGULATOR REPORT - The Pensions Regulator (TPR) has published a market oversight report on market volatility and what trustees should do, which sets out how...more

Contingent Deferred Annuities: Time for Renewal?

Carlton Fields on 5/2/2025

Contingent deferred annuities (CDAs) represent an interesting approach to securing lifetime income but have struggled for recognition in the marketplace since their introduction more than a decade ago. Recent developments,...more

DOL Proposes Expanded Use of ESG Factors in ERISA Plan Investment Decisions and Proxy Voting

Perkins Coie on 10/29/2021

The U.S. Department of Labor (DOL) published a proposed regulation on October 14, 2021, that would clarify how fiduciaries of private sector employee benefit plans should apply ERISA’s fiduciary duties of prudence and loyalty...more

Top Five Takeaways from Hogan Lovells Sovereign Investment Conference and a Tax List

Hogan Lovells on 11/14/2017

On 26 October, Hogan Lovells hosted its inaugural Sovereign Investor Conference where investment professionals as well as deal and regulatory lawyers discussed the key issues facing government-sponsored investors. Topics they...more

The Fiduciary Rule Status Update

Carlton Fields on 10/16/2017

On April 8, the Department of Labor published the so-called "Fiduciary Rule." It defines who is an employee benefit plan’s "fiduciary" for purposes of the Employee Retirement Income Security Act (ERISA) and the Internal...more