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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.

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