Published on The Center for Due Diligence (http://www.thecfdd.com)
Cross-Selling: What Is Permissible Under ERISA

Cross-Selling: What Is Permissible Under ERISA [1]
12/10/2009

Those who have ignored how ERISA fiduciary duties and prohibited transaction rules apply in these circumstances could be vulnerable for the very behavior they deemed to be in the best interest of their individual clients. Looking at it another way, those who are in compliance with state insurance laws, FINRA and the SEC may still be afoul of ERISA.

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Source URL: http://www.thecfdd.com/node/4471

Links:
[1] http://www.thecfdd.com/files/insights/CrossSelling.pdf