Legislative and Regulatory Corner

Keeping you informed on the latest proposals and regulations, and their impact on your business.

Retirement Legislation & Regulation Quarterly Update

December 2018

To keep you informed on the latest proposals and regulations impacting the retirement industry, we are pleased to introduce our first edition of the Retirement Legislation and Regulation Quarterly Bulletin. Topics highlighted in this quarter’s update include implications of the US elections, prospects for year-end retirement legislation and the outlook for retirement policy in 2019.



October 2018

On October 22nd, the Department of Labor (“DOL”) released proposed regulations that would apply a new interpretation of the definition of “employer” under the Employee Retirement Income Security Act of 1974 (“ERISA”). Our team outlines the details and implications of this proposal.


Retirement Legislative & Regulatory Year-End Outlook

September 2018

This year is proving to be an active year for retirement-related legislation, with a mix of new proposals emerging and some familiar ones reappearing, not to mention the handful of modest changes to retirement plans that were enacted as part of February’s Bipartisan Budget Act. Our team discusses noteworthy legislative proposals that may significantly affect retirement plans—including President Donald Trump’s most recent executive order.

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Defining Fiduciary – DOL & SEC

May 2018

On April 18, 2018, the SEC revealed a package of regulatory proposals for the standard of conduct applicable to investment professionals. We hosted leading legislative experts Thomas Clark, Partner, Wagner Law Group and Michael L. Hadley, Partner, Davis & Harman LLP for an interactive discussion around the latest initiative from Washington.

On-Demand Webinar



Retirement Plan Implications – DOL & RESA

April 2018

Some new developments in Washington and recent court rulings have implications for those saving and investing for retirement. Our team examines the status of the Retirement Enhancement and Savings Act (RESA) and what it might mean for both plan sponsors and participants. They also recap the latest court rulings impacting the Department of Labor’s Fiduciary Rule.

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US Tax Reform

December 2017

Congress successfully passed sweeping changes to US tax policy, which President Trump signed into law in December. We were pleased that our current retirement savings system was left largely intact, but caution that this tax legislation still has some open items. Our team outlines a few areas of interest to investors in the legislation as it stands today.

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