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Retirement › Employee Retirement Income Security Act (ERISA) › Investment Management

Ary Rosenbaum - The Rosenbaum Law Firm P.C.

The Intangibles You Need To Succeed In The 401(k) Business

Ary Rosenbaum - The Rosenbaum Law Firm P.C. on

The most disappointing part of going to law school was the lack of practicality. Sure, it helps you think like a lawyer and teach you the basics of the law, it never helped with becoming a successful lawyer or how to draw a...more

Faegre Drinker Biddle & Reath LLP

DOL Finalizes Changes to the Qualified Professional Asset Manager (QPAM) Exemption: What Investment Managers Need to Know

Faegre Drinker Biddle & Reath LLP on

On April 3, 2024, the U.S. Department of Labor (DOL) published an updated final version of prohibited transaction class exemption 84-14, also known as the qualified professional asset manager exemption (PTCE 84-14 or the QPAM...more

King & Spalding

Department of Labor Finalizes Changes to QPAM Exemption

King & Spalding on

Investment managers who manage private employee benefit plan and individual retirement account (collectively, “Plan”) assets have long relied on Prohibited Transaction Class Exemption 84-14 (commonly referred to as the “QPAM...more

Proskauer - Employee Benefits & Executive...

TRICK-or-TREAT? DOL Proposes Spooky New “Retirement Security Rule” That Would Expand the Scope of Fiduciary “Investment Advice”

Proskauer - Employee Benefits & Executive... on

Responding to the “terrifying” reality that conflicted investment advice is costing retirement savers billions of dollars each year, on October 31, 2023, the Department of Labor (“DOL”) issued proposed rules representing its...more

Carlton Fields

Expect Focus - Volume III, September 2023

Carlton Fields on

Regulators Hit Jackpot: Off-Channel Communications - Several years before announcing the first “off-channel” communications enforcement action, the SEC and FINRA cautioned broker-dealers and investment advisers about...more

Proskauer - Employee Benefits & Executive...

New York District Court Rejects ERISA Excessive Fee Claims as Insufficient

Proskauer - Employee Benefits & Executive... on

A district court in New York recently dismissed a putative class action challenging retirement plan recordkeeping and investment management fees. The case is Singh v. Deloitte LLP, No. 21-cv-8458, 2023 WL 186679 (S.D.N.Y....more

Burr & Forman

2020 Appropriations Act Contains Significant Retirement Provisions (Secure Act)

Burr & Forman on

On December 20, 2019, President Trump signed the Further Consolidated Appropriations Act, 2020 (the “Appropriations Act”) that includes the “Setting Every Community Up for Retirement Enhancement Act of 2019” (the “SECURE...more

Epstein Becker & Green

Monitoring ERISA Investment Fiduciaries

Epstein Becker & Green on

Fiduciaries of employee benefit plans subject to the Employee Retirement Income Security Act of 1974, as amended (“ERISA”) that appoint investment managers (“Appointing Fiduciaries”) will be interested in the opinion of the...more

Ballard Spahr LLP

Investment Management Update - October 2015

Ballard Spahr LLP on

Below is a summary of recent investment management developments that affect registered investment companies, private equity funds, hedge funds, investment advisers, and others in the investment management industry. Schwab...more

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