Kudos26 Posted August 22, 2017 Posted August 22, 2017 Does anyone have any experience/success with the DOL in narrowing the scope of a national office request for a global review of 408(b)(2) disclosures?
MoJo Posted August 22, 2017 Posted August 22, 2017 Experience, yes, success no (really TBD). We are currently involved in two audits of our clients, where the DOL has taken a serious interest in our 408(b)(2)'s - but are approaching it from the perspective of why the plan sponsor didn't seek clarification and/or fire us - because they have some issues with the disclosure (and the national office has been involved). What specific issues are you involved in?
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