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. The Department of Labor Fiduciary Rule will subject more financial institutions to a fiduciary standard of care and strict rules regarding prohibited transactions. 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, PC
603 El Redondo Ave.
Redondo Beach, CA 90277
Mail: info@retirementlawgroup.com

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


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