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Fiduciary and Compliance

We routinely advise clients on fiduciary compliance under ERISA and applicable state law, providing advice to governmental and non-governmental entity plan committees.

We assist clients in preparing documentation to accurately define their fiduciary or non-fiduciary status, and to limit the scope of their potential fiduciary liability. We also assist with developing services, programs, service agreements, disclosure documents, and marketing materials that are consistent with the client’s fiduciary status and services.  We regularly advise on the DOL’s fiduciary rules and fee disclosure regulations.

Ways We Can Help

  • Fiduciary compliance under ERISA
  • Fiduciary compliance under state and local law
  • Committee meetings and advice
  • Committee governance and structure, including bylaws, charters, and minutes
  • Fiduciary counseling and training
  • Plan investment policy statements and plan loan procedures
  • Service provider requests for proposals, contract review, and negotiation
  • Fiduciary litigation counseling and avoidance
  • Issues related to company stock funds in qualified plans