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Regulatory Updates

Periodic updates communicating important regulatory developments to plan sponsors, including those provided by ERISA and other governing bodies.

Environmental, Social and Governance (ESG) Investing

Given the recent interest in ESG investing, the Department of Labor (DOL) has provided “clear regulatory guideposts” regarding the investment duties and requirements set forth in accordance with ERISA. In summary, ERISA plans should be solely focused on providing the “retirement security of American workers.” Plan fiduciaries must select investment and “investment courses of action” […]

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Expanded CARES Act Parameters

The Coronavirus Aid, Relief, and Economic (CARES) Act introduced several provisions to defined contribution plan sponsors for enactment, such coronavirus related distributions and loans for eligible participants, a relaxation of loan provisions, and temporary waiver of required minimum distribution (RMD) rules for 2020. Such provisions are outlined within PEI’s previously published Special Report. The IRS […]

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Private-Equity Investments in Defined Contribution Plans

The Department of Labor issued an Information Letter under ERISA regarding private equity investments within defined contribution plans. More specifically, the letter references the utilization of private equity as a component of a professionally managed multi-class vehicle structured as a target-date or target risk or balanced fund rather than a direct stand-alone investment. Considerations regarding […]

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