TPA Retirement Plan Consultant EPIC RPS (TPA/DPS)
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Senior Specialist 401k Recordkeeping T Bank N.A.
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New York City District Council of Carpenters Benefit Funds
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Defined Contribution Account Manager Nova 401(k) Associates
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Great Lakes Pension Associates, Inc.
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Retirement Planners and Administrators (RPA)
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Pollard & Associates
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Fringe Benefit Group
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Regional Sales Director (West) July Business Services
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Greenline Wealth Management
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Defined Contributions Compliance Consultant Loren D. Stark Company (LDSCO)
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July Business Services
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Retirement Solutions Specialists
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July Business Services
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The Fiduciary Status of Investment Platform Providers (PDF)
The Wagner Law Group June 15, 2016 "In DOL Advisory Opinion 97-16A, the department took the position that a platform provider offering a roster of mutual funds ... would not be a fiduciary by virtue of changing a plan investment menu when the changes would be made under a procedure that gave plan fiduciaries advance notice and a reasonable opportunity to accept or reject the changes.... [A DOL] amicus brief [in McCaffree Financial Corp. v. Principal Life Ins. Co.], however, found it useful to distinguish the facts in the case from those in the advisory opinion. This indicates that until further notice, compliance with the conditions set forth in the advisory opinion continues to enable avoidance of fiduciary status under the plan management and administration prongs of the fiduciary definition." |
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