Pension Consultants: New Guidance from the SEC and DOL

by Kenneth J. Berman View Biography
Lawrence K. Cagney View Biography
Alicia C. McCarthy View Biography
Francis S. Kuo
Debevoise & Plimpton LLP View Firm Credentials
New York Office

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May 14, 2006

Previously published on June 8, 2005

On June 1, 2005, the Securities and Exchange Commission ("SEC") and the Department of Labor ("DOL") issued tips to assist pension fiduciaries in evaluating the objectivity of advice and recommendations furnished by their pension consultants. These tips are the result of a study dated May 16, 2005 (the "Study") by the SEC of 24 pension consulting firms focusing on potential conflict of interest disclosures. In the Study, the SEC also provides guidance to pension consultants on establishing conflict policies and procedures.

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The views expressed in this article are solely the views of the author and not Martindale-Hubbell. This article is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance.

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Pension Consultants: New Guidance from the SEC and DOL

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