Your Resource Center for Managing Fee Disclosure

This site is the single source for a broad perspective of the obligations, opportunities and threats of ERISA's Fee Disclosure regulations. Read more...


One Case History…

One of our clients recently had a DOL audit. Among other things, the auditor was specifically looking at all fees associated with the plan. He was interested in confirming that the Plan Sponsor both understood the magnitude of fees AND the services provided for the fees. Read more...

Blogging About Fee Disclosure
Nov22BICE Compensation Limits are not Benchmarks
By Louis S. Harvey, CEO Dalbar, Inc. on Nov 22, 2016

 The Best Interest Contract Exemption requires that advisor compensation from every Retirement Investor be less than a reasonable level. This is not a benchmark or goal to be achieved. It is quite the opposite, it is a cap on prices. It is a compensation limit.

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Sep24Excessive Compensation Prohibition
By Louis S. Harvey, CEO Dalbar, Inc. on Sep 24, 2016

No Exceptions

The DoL Fiduciary Rule (“Rule”) prohibits advisors from receiving excessive compensation from any IRA or ERISA Plan for both existing and new business!

While there are many exemptions and exceptions built into the Rule, there is one common mandate:

No compensation in excess of what is reasonable for the services provided.

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Sep20Assessing Compensation Reasonableness of Retirement Investment Advisers
By Louis S. Harvey, CEO Dalbar, Inc. on Sep 20, 2016

 The 21st century has seen an escalation in the focus on retirement adviser compensation coming from a plethora of lawsuits, new laws from Congress, Regulatory action and even the President promising to cut $17 billion from adviser’s pay.

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