Most investment advisers have covered accounts under ERISA, yet the complex ERISA regulations often leave advisers with more questions than answers. Ascendant’s May 2013 ComplianceCast highlighted some of the issues faced by advisers to ERISA plans. In this follow-up, we respond to a selection of the ERISA questions asked by your peers.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- Insurance Considerations for Investment Advisers
- Custody – Get It Right: Just in Time for Your Annual Updating Amendment!
- SEC and FINRA 2018 Examination Priorities
Recent ComplianceCast™ Minutes