Service Providers

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

  • Assistance with the design and implementation of "white labeled" or custom retirement plan platforms
  • Counsel on the impact of existing and pending legislative and regulatory activities affecting the design, operation and administration of employer- sponsored retirement plans
  • Development and integration of discretionary administrative services (a.k.a. ERISA 3(16))
  • Due diligence and review of third-party participant advice programs and plan-level ERISA 3(21) and 3(38) investment managers
  • Contract review and drafting
  • Regulatory guidance and defense relating to DOL investigations and IRS audits
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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