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The SEC Might Mandate Swing Pricing for Most Funds

The comment period for the proposal is open until February 4 and would require a hard close, swing pricing and a 10% minimum in highly liquid assets.

Mike hadleyDavis harmanExchange commissionRecordkeepers instituteSociety of professional asset managersProfessional asset managers

Public Hearing Exposes Discord on QPAM Rule Implementation

A DOL public hearing held Thursday on the new QPAM Rule proposal highlighted concerns about foreign convictions and non-prosecution agreements as grounds for QPAM disqualification.

United statesTim hauserKent masonJames henryRobin diamonteKevin walshAllison wielobobYale universityCredit suisseGroom law groupDepartment of laborDavis harmanAmerican retirement associationEmployee benefits security administrationCommittee on investment of employee benefit assetsRaytheon technologies

Public Hearing Exposes Discord on QPAM Rule Implementation | Chief Investment Officer

A DOL public hearing held Thursday on the new QPAM Rule proposal highlighted concerns about foreign convictions and non-prosecution agreements as grounds for QPAM disqualification.

United statesTim hauserKent masonJames henryRobin diamonteKevin walshAllison wielobobYale universityCredit suisseGroom law groupDepartment of laborDavis harmanAmerican retirement associationEmployee benefits security administrationCommittee on investment of employee benefit assetsRaytheon technologies

DOL defends subpoenaing participant information after trade groups raise alarms

A DOL official defended subpoenaing swaths of retirement plan information, including identifiable information, during ERISA investigations.

United statesTimothyd hauserKent masonMarty walshDavis harmanIndustry committeeUs circuit courtAmerican benefits councilUs district courtRetirement instituteUs chamberSmall business council of americaLabor departmentInvestment company instituteDepartment of laborNational association of insurance

More K Street legal drama

The suit was filed in February, days before an announcement that the lobbyists would all join Thorn Run Partners.

Thorn runUnited statesDistrict of columbiaAlabama agricultural and mechanical universityWest hollywoodGigi sohnHeidi heitkampRob bishopErin mcdermottBrian maryottNoreen keeneyKen griffinLos angelesScott tominovichEthan durstelerJohn hendel

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