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ARTICLE · 04 AUGUST 2004

SEC Scrutinizes Defined Contribution Plan Payments in It´s Continuing Examination of Mutual Funds

Pillsbury Winthrop Shaw Pittman
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The Securities and Exchange Commission (SEC) announced in early July 2004 that its ongoing inquiry into the mutual fund industry is now targeting the disclosure and use of payments between mutual funds and defined contribution pension plans (DC plans), such as 401(k) plans, in order to better understand the role such payments may play in the selection of service providers and of funds to be included in DC plan investment menus.

United StatesStrategy
Mary Jenkins
Mary Jenkins

Introduction

The Securities and Exchange Commission (SEC) announced in early July 2004 that its ongoing inquiry into the mutual fund industry is now targeting the disclosure and use of payments between mutual funds and defined contribution pension plans (DC plans), such as 401(k) plans, in order to better understand the role such payments may play in the selection of service providers and of funds to be included in DC plan investment menus. The SEC has reportedly asked several mutual fund companies, including some of the largest providers of retirement plan services, for extensive information about such payments in a broad sweep examination to explore payment practices between mutual fund companies and their DC plan clients.

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