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DOL to Hold January Hearing on Credit Suisse's Retirement Plan Manager Status
ThinkAdvisor Link to more items from this source
Nov. 16, 2014
"The temporary exemption conditions include: the development of extensive policies and procedures designed to ensure that the affiliates fully comply with their fiduciary duties; stringent reporting requirements, mandatory training of Credit Suisse personnel regarding their legal and ethical responsibilities, and an independent audit of the Credit Suisse affiliates' compliance with their fiduciary obligations and the terms of the exemption. In addition, the exemption requires Credit Suisse to have notified affected plans and IRAs 'of the facts leading to the forthcoming criminal conviction and its consequences.' "

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