Our team of specialists stays up-to-date on regulations and legislative changes. They can help you understand how changes impact our industry and how you’re affected as an advisor.
Review these materials to build your expertise and share them with your clients, as appropriate.
Fee-disclosure requirements
Whitepapers (PDFs)
Participant fee disclosure and 404a-5 regulation Read more
Presentations (PDFs)
- Section 408(b)(2) of ERISA - Reviews the fee disclosure interim final regulation from the Department of Labor. Read more
- Making sense of retirement plan fees - Client approved overview of retirement plan fees Read more
Fiduciary responsibilities
Whitepapers (PDFs)
- ERISA’s new definition of fiduciary Read more
- Participant investment advice & review of proposed regulation Sec. 2250. 408(g)–1 Read more
Presentations (PDFs)
- Fiduciary adviser and investment advice Read more
- Investment advice fiduciary and investment manager fiduciary - an examination of the definition of fiduciary regulation - Department of Labor Prop. Reg. 2510.3-21(c) Read more
- Participant investment advice vs. education Read more
Need more information?
Call us at 1-800-626-3112.
