ERISA Advisory Services

Overview

Our employee benefits team also offers ERISA advisory services that are dedicated to assisting retirement plan service providers in ensuring the compliance of their services with the law. Whether our clients serve a limited number or a multitude of retirement plans, our comprehensive support is tailored to their needs. We extend our expertise to financial institutions, RIAs, brokers, mutual fund service providers, benefit plan auditors and recordkeepers, offering insights into the intricacies of ERISA. Given that our attorneys also work extensively with employers on their retirement plan requirements, we help service providers strike a balance between their needs, risks, and industry expectations. Recognizing the urgency often associated with client inquiries, our responsiveness becomes a crucial element of our service.

Our range of services for service provider clients includes:

Reviewing and preparing ERISA documents, encompassing qualified retirement plans, investment management agreements, investment policy statements, and various notices and communications.
Reviewing and preparing required fee disclosure notices.
Assisting in compliance with fiduciary responsibilities, including employee training on their duties.
Providing practical solutions for clients when issues arise with their retirement plans.
Assisting in preparing IRA documents and relevant disclosures.
Preparing IRS private letter rulings to address errors in IRAs.
Defending clients in audits and investigations conducted by government regulators.

At Bricker Graydon, we are committed to delivering proactive and tailored support to navigate the complexities of ERISA compliance for our valued service provider clients.