ERISA at 40! Celebrating America’s Retirement Savings

It has been 40 years since the adoption of the Employee Retirement Income Security Act. Understand the basics of ERISA and how it impacts the Advisory Industry Beyond 408(b)(2) Disclosure requirements Where the 401(k) business is heading Preparing for a … Read more

ERISA And The Management Of Pension Portfolios

ERISA And The Management Of Pension Portfolios Beyond 408(b)(2) Disclosure Prohibited Transactions Considerations for AUM Calculations Exemptions Insurance Concerns and Liabilities Potential DOL Examinations

The Complex World of ERISA: Answering Your ERISA Questions

The Complex World of ERISA: Answering Your ERISA Questions 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 … Read more

The Complex World of ERISA

DOL’s Web of Regulations Surrounding IAs Compensation Arrangements 408(b)(2) Disclosure Prohibited Transactions Considerations for AUM Calculations

ERISA 408(b)(2) Disclosure Obligations for Covered Service Providers

ERISA 408(b)(2) Disclosure Obligations for Covered Service Providers ERISA Section 408(b)(2) requires covered service providers to disclose information about their services and compensation in order to help plan fiduciaries determine whether the contract or arrangement is reasonable. The 408(b)(2) regulation … Read more