Subscribe (Free) to
Daily or Weekly Newsletters
Post a Job

Featured Jobs

Regional Vice President of Sales

The Retirement Plan Company
(Remote / AL / FL / GA / MS)

The Retirement Plan Company logo

Loan & Distribution Specialist

AimPoint Pension
(Remote)

AimPoint Pension logo

Director of 3(16) Operations

Compass
(Remote / NH / Hybrid)

Compass logo

Defined Benefit Combo Cash Balance Compliance Consultant

Loren D. Stark Company (LDSCO)
(Remote)

Loren D.  Stark Company (LDSCO) logo

Business Development Director

AimPoint Pension
(Remote / Pompano Beach FL / AL / GA)

AimPoint Pension logo

Retirement Plan Administrator

Bates & Company, Inc.
(Remote / Winter Park FL)

Bates & Company, Inc. logo

View More Employee Benefits Jobs

Free Newsletters

“BenefitsLink continues to be the most valuable resource we have at the firm.”

-- An attorney subscriber

Mobile app icon
LinkedIn icon     Twitter icon     Facebook icon

SEC Staff Examination Priorities: Are There Changes Ahead for Unregistered Retirement Plan Recordkeepers?
Drinker Biddle via Mondaq; free registration may be required Link to more items from this source
Aug. 21, 2013

"The [SEC] staff recently has been focusing increasing attention on the various arrangements that mutual funds, and/ or their direct service provider (collectively, 'Fund Complexes') enter into in with third-parties to provide certain services to the Fund Complex related to shareholder servicing. While the SEC staff's interest is not focused solely on retirement plan recordkeepers ('Recordkeepers'), the SEC staff has indicated that they are concerned with, among other things, the nature of the services provided in these arrangements, and the nature and amount of the compensation paid for these services. In each of these points of emphasis, the SEC staff has, either explicitly or implicitly, called into question whether Recordkeepers that are not registered with the SEC in some capacity should be registered as either broker-dealers or transfer agents."

Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the linked news item's title).
An important word about authorship: BenefitsLink® created this link to the news item, but we are not the news item's author (unless expressly shown above).
© 2024 BenefitsLink.com, Inc.