Extension of DOL Fiduciary Rule is Official and some Guidelines for Documenting Rollovers
The Energy Law
DECEMBER 4, 2017
If the client does not have these documents available, then the adviser may rely on publically available information such as the plan’s Form 5500 filings and Morningstar, SEC or similar reports. The adviser can also use reliable benchmarks for typical fees and expenses for plans of the same type and size.
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