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Found 3 results

  1. ldr
    Good afternoon to all: From a colleague in my office: "Requesting advice regarding completion of Schedules A and C for large plans using a John Hancock style (insurance) product. We believe that Commissions to Insurance Agents and TPA Fees deducted from plan assets (Distribution and loan fees) are reported on Schedule A. Revenue Sharing (Forum Compensation) could be reported on the A or C and if reported on the A then it would be left off the C. Any thoughts on this? " Thank you as always for any advice.
  2. Peter Gulia
    If a recordkeeper’s compensation includes “revenue sharing”, 12b-1 fees, shareholder-service fees, or other compensation from investment funds, a sponsor/fiduciary’s informed approval depends on complete and accurate information about the compensation the recordkeeper receives from the investment funds. Does anyone use a CPA firm or other means to test the accuracy of a recordkeeper’s reporting or disclosures about compensation from investment funds?
  3. Ed Proulx
    A DC plan terminates and pays out all benefits. AFTER all benefits have been paid out, the custodian (thank you very much) credits revenue sharing to us (we are both fiduciary advisor and recordkeeper). The amount of the revenue sharing received does not cover the cost to distribute it - not that this matters philosophiclaly, but practically, it carries weight. Of course, nobody wants to deal with this, not us, not the plan sponsor - we, however have to. Eagerly await your enlightened comments and opinions.
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