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Your institution could be at risk!

Regulations in the retirement plan business are continually changing. Financial institutions offering retirement planning services are required to stay in compliance with legislation at all times, or will face signficant penalties and fines. Many institutions do not fully understand the new regulations and are unware they are at risk. Our whitepaper will guide you in determining if your business is at risk, by evaluating how well you know your retirement plan business. 

For example: 

  • Did you provide disclosure documents for the 408(b)(2) regulation? 
  • Do you have established qualified retirement plan business procedures for 404a-5 self-directed brokerage platforms?
  • Are you sure all of your advisors are staying current with ERISA regulations?

If you are unsure of the answer to these questions, your instiution could be at serious risk. 

Contact us to receive your FREE whitepaper, "How Well Do You Know Your Retirement Plan Business?"


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