Regional Vice President of Sales The Retirement Plan Company
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Bates & Company, Inc.
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AimPoint Pension
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Loan & Distribution Specialist AimPoint Pension
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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Compass
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Proposed Best Interest Contract Exemption Could Require Dramatic Changes for Financial Institutions
Faegre Drinker [Guidance Overview] May 20, 2015 "Public disclosure is to be provided through a website, and client disclosure is to be provided as a point-of-sale disclosure, an annual disclosure and a potential limited-range-of-investment-options disclosure.... The website, freely accessible to the public, must provide three items: [1] Direct and indirect material compensation provided in connection with each Asset that is available and has, in fact, been purchased, held or sold within the last 365 days through the Adviser or Financial Institution; [2] The source of the compensation; and [3] How the compensation varies within and among Assets ... The website chart must also be machine readable[.]" |
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