Fred Reish

The New E-Delivery Rule: The Price of Simplification

By Fred Reish, Bruce Ashton and Stephen Pennartz 1/29/2021

(How) could the E-Delivery Rule open the door to cyber security/participant data suits? The Department of Labor (DOL) has simplified the delivery of retirement plan information to participants through its new Electronic Disclosure Rule (the E-Delivery Rule). Although the E-Delivery Rule promises... READ MORE

Missing Participants and Fiduciary Responsibilities: A Risk for TPAs

By Fred Reish, Heather Abrigo 12/28/2018

The Department of Labor (DOL) is aggressively investigating the practices and procedures of plan sponsors with respect to locating missing participants and distributing benefits to those participants. In some cases, the DOL is asserting breaches of fiduciary duty for failure to perform regular... READ MORE

TPA Issues in DOL Investigations of Client Plans

By Fred Reish, Heather Abrigo 12/14/2018

It’s always unpleasant when a TPA gets a call or a letter from the Department of Labor (DOL) about an investigation of a client’s qualified plan. What should a TPA do? As a first step, a TPA should notify its client about the inquiry from the DOL, so that the client can, if desired, relay that... READ MORE

TPAs as Fiduciaries . . . of Their Own Plans

By Fred Reish, Heather Abrigo 12/10/2018

As you probably know, the 5th U.S. Circuit Court of Appeals threw out the Department of Labor’s (DOL) Fiduciary Rule. While the decision left no doubt, the consequences are not well understood. To grasp the full impact of the court’s decision, it’s important to distinguish between non-... READ MORE

Capturing Plan Rollovers

By Bruce Ashton, Fred Reish, Joan Neri, Joshua Waldbeser 9/4/2015

This article originally appeared in the Spring 2014 issue of Plan Consultant. To view a PDF version, please click here.As the Baby Boomer generation nears (or reaches) retirement age, many have to make decisions about their DC plan options when they retire, including weighing the pros and cons of... READ MORE

Form 5500 Filings: Trips and Traps Under Section 408(b)(2)

By Bruce Ashton, Fred Reish, Joshua Waldbeser 9/3/2015

This article originally appeared in the Spring 2013 issue of Plan Consultant. To view a PDF version, please click here.The ERISA Section 408(b)(2) disclosure requirements may contain an unpleasant surprise for record keepers and TPAs (which we’ll refer to as “preparers”). That surprise—an... READ MORE

Participant Disclosure Regulations: Challenges for Recordkeepers

By Bruce Ashton, Fred Reish, Joshua Waldbeser 9/3/2015

This article originally appeared in the Winter 2013 issue of Plan Consultant. To view a PDF version, including an accompanying chart, please click here.In October 2010, the Department of Labor (DOL) issued a final regulation requiring broad disclosures of fees, expenses, and certain plan and... READ MORE

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Fred Reish

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