Compliance

August 09, 2017

Sanctions Bill Affects Retirement Plans

Groom Law Group attorneys say they have seen an increase in the number of pension plans that have faced possible Office of Foreign Assets Control violations arising from distributions and investments.

August 04, 2017

DOL Fiduciary Rule FAQ Further Clarifies Compliance Demands

In general, if a covered service provider will continue after the fiduciary rule to provide services only in a non-fiduciary capacity, or has already effectively disclosed investment advice fiduciary status, no additional disclosure would be required under the 408b(2) regulation.

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