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Category: Employee Benefits

Retirement Plan Financial Service Providers Are In the Department of Labor’s Cross-Hairs Under Recent Enforcement Initiative

Mar 6, 2013 - Alerts by

Once upon a time, most retirement plan investment advisors, broker-dealers, and consultants were largely an afterthought in the mind of the Department of Labor (“DOL”).  The agency concentrated nearly all of its employee benefit enforcement resources on plan sponsors, plan administrators, and plan trustees.  Absent some glaring conflict of interest […]

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