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What to Do If You Didn't Receive an ERISA 408(b)(2) Disclosure from a Plan Service Provider
Benefits Bryan Cave Link to more items from this source
[Guidance Overview]
July 23, 2012

"Hopefully, you, the responsible plan fiduciary to an ERISA retirement plan, are happily ensconced in your office, reviewing thorough and compliant ERISA Section 408(b)(2) disclosures from the plan's covered service providers. But what if you didn't receive the disclosure, or if it is inadequate? [DOL] regulations provide that the plan fiduciary must request the missing information in writing from the service provider. Guidance does not dictate a specific timeframe under which the fiduciary must make this request ... Presumably this would be within a reasonable time after the fiduciary determined the disclosure had not been provided or was inadequate. What constitutes a 'reasonable' timeframe may depend on how many disclosures you have to review. Of course, if no disclosure at all was provided, those requests should go out posthaste."

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