(513) 621-6464
(513) 621-6464

ERISA Advisory Services

ERISA Advisory Services

Graydon’s ERISA Advisory Services group provides assistance to all types of financial institutions to ensure that the retirement plan services that they are providing to their clients are compliant with the law. Whether you provide services to a few retirement plan clients or to thousands, we can help. We assist banks, RIAs, brokers, mutual fund service providers and recordkeepers understand the complexities of ERISA. Since all of our attorneys practicing in this space also work with employers of all sizes on their retirement plan needs, we can help financial institutions balance their needs and risks with what is expected in the industry. We understand that often our financial institution clients are coming to us in order to respond to a client inquiry making our responsiveness a necessity.

Below is an example of some of the services that we routinely provide to our financial institution clients:

  • Reviewing and preparing ERISA documents, including qualified retirement plans, investment management agreements, investment policy statements, and various other notices and communications;
  • Reviewing and preparing required fee disclosure notices;
  • Assisting in compliance with the fiduciary responsibilities, including training employees on their responsibilities;
  • Providing practical solutions for their clients’ problems when issues arise with their retirement plans;
  • Assisting in preparing IRA documents and appropriate disclosures;
  • Preparing IRS private letter rulings to correct errors in IRAs; and
  • Defending clients in audits and investigations with government regulators.