Bates & Company, Inc.
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Defined Benefit Combo Cash Balance Compliance Consultant Loren D. Stark Company (LDSCO)
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AimPoint Pension
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Hall County Government
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Compass
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Regional Vice President of Sales The Retirement Plan Company
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Loan & Distribution Specialist AimPoint Pension
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Best Interest Standard of Care for Advisors, Part 81: Annual Retrospective Review
FredReish.com [Guidance Overview] Feb. 17, 2022 "In FAQ 17, the DOL discusses both the implications of payout grids and mitigation techniques to minimize compliance risks. The review must be reduced to a written report and signed by a senior executive officer of the firm. The report is available to the DOL on request. The failure to satisfy that requirement results in the loss of the exemption. That would mean that the conflicted recommendations were prohibited transactions, resulting in penalties and costs." |
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