Eligible Investment Advice Arrangement (eiaa)

PARTICIPANT ADVICE REGULATION  The Definition of EIAA follows the provisions of ERISA §408(b)(14) and §408(g) “In order to qualify as an “eligible investment advice arrangement,” the arrangement must either provide that any fees received by the adviser do ... Fetch Here

Date : March 11, 2010 - Transamerica Center For Retirement ...
Eligible Investment Advice Arrangement (EIAA) For the statutory exemption to apply, the investment advice must be provided by a fiduciary adviser under an EIAA. An arrangement is an EIAA if it meets either the requirements of a Level-Fee Arrangement or a ... Retrieve Full Source

Date : September 19, 2008
The investment advice is given under an “Eligible Investment Advice Arrangement” (EIAA) described in ERISA Section 408(g) and certain disclosure and other requirements are met. investment advice provided through an EIAA. ... Doc Viewer

DOL FAB 2007
Section 408(b)(14) applies to the provision of investment advice under an “eligible investment advice arrangement“, (EIAA) as defined in paragraph (2) of section 408(g), to participants and For purposes of an “eligible investment advice arrangement” (EIAA) within the ... View Doc

Use Of DALBAR Name, Logo And Watermark In See Last Slide For ...
Requires Eligible Investment Advice Arrangement (EIAA) – Computer advice model Requires EIAA & independent annual audit – Automatic enrollment/Increases No protection unless deferrals conform to PPA – Default investments Requires QDIA. 4 DALBAR ... Document Retrieval

The Measurement Of Success
Obtaining an eligible investment advice arrangement and making disclosures to existing accounts. Waiving the EIAA requirement for existing accounts and permitting the disclosures to those accounts after the fact, with the next account statement, will overcome this difficulty. ... Document Viewer

Roadmap For Selecting And Monitoring A Fiduciary Adviser One ...
Using an eligible investment advice arrangement (“EIAA”) through a fiduciary adviser is not the only available If you decide on one of the EIAA’s, the next step is to make sure you understand who can act as a fiduciary adviser. ... Access Doc

The DOL Issues Proposed Rules On Retirement Plan And IRA ...
Provision of investment advice by a fiduciary adviser (FA) under an eligible investment advice arrangement (EIAA) that uses a level-fee or computer-based advice model that meets the requirements of the regulations. ... Get Content Here

Education Vs. Advice Dilemma
An eligible investment advice arrangement (EIAA – described below) under the ERISA safe harbor because they are paid (directly or indirectly) based on the investments selected by . participants or on an “un-level” basis. ... Read Document

CEFEX News Release PPA Certification V3
ELIGIBLE INVESTMENT ADVICE ARRANGEMENTS An ‘eligible investment advice arrangement’ (EIAA) is an arrangement that either provides that any fees (including commission or other compensation) received by the fiduciary adviser for ... Fetch Doc

New 401(k) Opportunities Michael Burmeister
Advice under an eligible investment advice arrangement. type of EIAA) must be “audited Arrangement (QACA): Requires automatic enrollment for participants who haven’t previously made an election Deferral Percentages must start at no less than ... Retrieve Document

E&W Compliance Update
Requires that proffered advice be made pursuant to an eligible investment advice arrangement (“EIAA”), which, among other things, requires that any fees (including commissions or other compensation) received by the fiduciary adviser do not vary based ... Fetch Doc

DoL 2008 Advice Proposal V4
EIAA Disclosure Audit 401(k) Sponsor Fiduciary Adviser EIAA Fiduciary Adviser Disclosure Audit 408g Auditor 408g Auditor October 2008 3. Affecting What & Who • New regulations for IRAs and ERISA plan participants Eligible Investment Advice Arrangement ... Access Document

GAO-11-119 401(K) Plans: Improved Regulation Could Better ...
EIAA eligible investment advice arrangement ERISA Employee Retirement Income Security Act PPA Eligible Investment Advice Arrangement Regulations . 98. The interim final regulations only apply to employer-sponsored plans under ERISA, not to ... Content Retrieval

MPLEMENTING A OMPUTER ODEL ERISA § 404 § 408 IRC 4975
1 “ Recommendations” refers to the compensated investment advice defined in ERISA § 3 Terms of the arrangement must be contained in a written Eligible Investment Advice Agreement (“EIAA”). ... Read More

-Eligible Investment Advice Arrangement zLevel Compensation zCtMdlComputer Model zDisclosure and Audit Requirements. Introduction to PPA other instruments governing the plan and consistent with the EIAA & ERISA . Challenges - Problematic Arrangements zPay to Play zBreakpoints and Fees ... View This Document

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An “eligible investment advice arrangement” is an arrangement that either provides that any fees (including any commission or other compensation) Eligible Investment Advice Arrangement ("EIAA") Field Assistance Bulletin ("FAB") ... Fetch Content

Department Of Labor (DOL) Releases Final Investment Advice ...
Under an Eligible Investment Advice Arrangement (EIAA) that meets the requirements of one of the following: A. Fee-Leveling Arrangement Fee-leveling is an arrangement where fees and other compensation received directly or indirectly from ... Return Doc

DOL Issues Final Regulations On Participant Investment Advice
The eligible investment advice arrangement must be authorized by the plan and annually audited. In addition, the fiduciary adviser must make certain participant disclosures and retain records related to the arrangement. Arrangements that Use Fee Leveling ... Return Document

IDUCIARY DVISER OMPENSATION
Engagement for fiduciary advisers through an Eligible Investment Advice Arrangement (EIAA). EXECUTIVE SUMMARY Level compensation is essential for an EIAA and compensation arrangements must comply with guidelines for adviser payment under the PPA. ... Get Doc