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August 6, 2014

Steps to Maintaining ERISA Compliance for Broker Dealers and Investment Advisers

by The 401k Study Group ®

NAPLIA and ERISA attorney, Kim Shaw Elliott of Baugh Dalton Carlson & Ryan, will outline ERISA fundamentals and doing business with retirement plans. We’ll answer these pressing questions: Why a properly-written service agreement that spells out your fiduciary and non-fiduciary activities is critical to a proper defense in a fiduciary claim or regulatory complaint. Why you should fully understand your 408(b)2 disclosures. For long-term 3(21) advisors, what you should you be concerned about and why you should consider transitioning to be a 3(38) advisor.


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