Investment Professionals

Get Ready:
Your retirement plan business is about to undergo a seismic shift.

Regulatory scrutiny and class action litigation are causing retirement plan and IRA service providers to reexamine their approach to serving retirement investors. In addition, rapidly changing regulations from DOL and IRS can make it difficult for even the most diligent plan sponsors to keep up successfully. Access to holistic legal counsel - with expertise across ERISA, Tax and Securities laws and regulations - is critical to ensuring your firm remains competitive and compliant in this rapidly changing marketplace.

REPRESENTATIVE SERVICES INCLUDE

  • Drafting and reviewing account opening agreements, including discretionary and non- discretionary investment advisory agreements and supporting documentation, including Form ADV Part 2 disclosures, IA compliance procedures, etc
  • Advising on ERISA fiduciary duties, prohibited transactions, prohibited transaction exemptions, including BICE, Impartial Conduct Standards, IRA rollovers, etc
  • Development and review of solicitor, sub-advisory and model manager programs
  • Consultation regarding formation and distribution of collective investment funds
  • Regulatory guidance and defense relating to FINRA, SEC, DOL and IRS proceedings
Additional Information

Contacts

Retirement Law Group, Inc.
2829 Turnbull Street
Oceanside, CA 92054
Mail: info@retirementlawgroup.com

Please let us know how we may serve your legal and/or regulatory needs.


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