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Institutionalizing 408b-2 Compliance in Financial Service Firms: New Responsibilities for the Securities Compliance Professional
The Business of Benefits 
Apr. 5, 2012
"Because 408b-2, in particular, is a prohibited transaction rule, ... financial service firms have a huge economic stake in not just making the initial disclosure [under the DOL regulations], but also in making sure that permanent compliance procedures are established, implemented and audited on a routine basis. A number of firms are also beginning to take a closer look at their myriad of revenues streams to make sure that not only are they reported correctly, but that there is a Prohibited Transaction Exemption that otherwise permits the revenue."
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