Tag: DoL

Art by Tim Bower

Wanta Be a PPP?

Advisers can find many ways to serve pooled employer plans.

Legislative and Judicial Actions

States updating annuity standards; Senate confirms a Labor secretary; GAO presses the DOL to clarify cybersecurity guidance; and more.

Upcoming Webinar: ESG and ERISA Plans

We will discuss how asset managers are putting environmental, social and governance investing themes to work. Particular attention will be paid to the regulatory environment and the potential to pursue greater investment returns by seeking out companies with higher ESG ratings.

Reading Into the SEC’s 2021 Enforcement Priorities

The ongoing implementation of Regulation Best Interest gets top billing in the SEC’s recently published 2021 examination priorities list, though recent evidence suggests the regulator’s focus on share class disclosures remains a chief concern.