On April 3, 2024, the U.S. Department of Labor (DOL) published significant modifications to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption). The amendment becomes effective on June 17, 2024; however, certain...more
4/9/2024
/ Compliance ,
Criminal Convictions ,
Deferred Prosecution Agreements ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Exemptions ,
Financial Crimes ,
Investment Management ,
New Amendments ,
Non-Prosecution Agreements ,
Notice Requirements ,
Prohibited Transactions ,
QPAM ,
Shareholders
On July 27, 2022 the U.S. Department of Labor (DOL) proposed significant modifications to Prohibited Transaction Class Exemption 84-14 (the QPAM Exemption). The DOL will accept written comments and requests for public...more
7/29/2022
/ Asset Management ,
Criminal Convictions ,
Department of Labor (DOL) ,
Employee Retirement Income Security Act (ERISA) ,
Exemptions ,
Investment Adviser ,
IRS ,
Management Agreements ,
Proposed Amendments ,
QPAM ,
Record Retention ,
Trade Secrets