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A Series on Reportable Events: The Squealing TPA (Part 2) – Has a Prohibited Transaction Occurred?


Retirement Plan Advisory Services presents the second part of our series on reportable events, better known as the squealing TPA. The regulations are clear about disclosure: if a financial advisor gets paid from plan assets, then failure to disclose the services they provide, the fees they receive and if they are a fiduciary to the plan constitute a prohibited transaction.

A Series on Reportable Events: The Squealing TPA (Part 1)


Retirement Plan Advisory Services has chosen to write a series for our readers on qualified retirement planning and compliance with the new regulation, ERISA 408(b)(2). It is pertinent that ALL Covered Service Providers are aware of the newest regulation, as it requires full-disclosure of any information regarding services they provide, their fiduciary capacity, the fees they charge and the method and frequency of the payment plans. 

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