Ekon Benefits: Disclosure Rules

Over the past few years, the Department of Labor ("DOL") has published three regulations aimed at providing more transparency of fees and investment performance for qualified retirement plans. The three prongs of the DOL’s regulatory initiative, Form 5500 Schedule C disclosures, 408(b)(2) Fiduciary Disclosures, and 404(a)(5) Participant Disclosures, place additional responsibilities on Plan Administrators, Sponsors, and Trustees.

As Plan Fiduciary, the DOL now requires you to obtain disclosure information from all Investment Companies, Investment Advisors, and any other service providers that receive compensation from the Plan and in some cases, pass that information along to participants.

Below we have provided some helpful information regarding fee disclosure including articles, presentations, and mutual fund family disclosures.

Please contact us with any questions you may have regarding the fee disclosure regulations and how Ekon can help you comply with the new requirements.

Investment Provider 408(b)(2) Disclosures - The following information was provided to Ekon Benefits by investment companies. These “pass-through” disclosures represent our good faith effort to assist Responsible Plan Fiduciaries in their compliance with 408(b)(2). We do not make any representation as to the completeness or accuracy of materials provided by investment companies.

Allianz Global Investors

American Century

American Funds

Buffalo Funds

Calamos Investments

Columbia Funds

Dodge & Cox Funds

Federated

Fidelity Investments

Franklin Templeton

Goldman Sachs

The Hartford