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DOL Clarifies Revenue Sharing Fiduciary Responsibility Issues
Morgan Lewis [Guidance Overview] July 18, 2013 "The DOL's disclosure initiatives over the last four years, including the 408(b)(2) service provider disclosure regime, and recent informal comments from DOL officials highlight a focus on 'indirect' sources of compensation, which the DOL views as having the potential to give rise to conflicts of interest and excessive fees. While the initial burdens of the 408(b)(2) disclosure rules were on the service providers, which were required to provide the disclosures, the burden is now on plan fiduciaries." |
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