The Department of Labor (“DOL”) published its final regulations under Section 408(b)(2) of the Employee Retirement Income Security Act of 1974 (ERISA) in February 2012, specifying the disclosure requirements of retirement plan service providers (“fee disclosure rules”). Plan sponsors as “responsible plan fiduciaries” of covered plans must ensure that they receive all of the information that service providers are obligated to furnish by July 1, 2012.
Castle Rock Investment Company has compiled a checklist to help plan sponsors determine if their plan is covered, which service providers are obligated to comply with the fee disclosure rules, and a brief summary of the disclosures plan sponsors should receive.
408(b)(2) Regulation Checklist
If you have questions about the checklist, please contact Michele Suriano at 303-725-7086.
Castle Rock Investment Company, formed in 2006, is an independent woman-owned SEC-registered investment adviser located in Castle Rock, Colorado. We specialize in individual financial plans and qualified service plans.