As a financial institution or other service provider in the retirement-savings market, you face intense competitive pressure to provide cutting-edge products and services without running afoul of complex tax and ERISA rules. Whether you provide qualified plans, 403(b) arrangements, 457 products, nonqualified deferred compensation, IRAs, nonqualified annuities, or life insurance, you need to be one step ahead of the competition - and on top of the latest thinking at the IRS, the Labor Department, and other government agencies.
Caplin & Drysdale can help you meet the demands of your customers. We have counseled national plan service providers, insurance companies, and other financial institutions for years. We know your industry, and we know your issues. We can provide you with the edge you need to comply with today's regulatory environment and to compete in today's marketplace.
Representative Engagements
- A national provider requires legal advice on the continued validity of a restrictive IRS position concerning section 403(b) annuities.
Result: Caplin & Drysdale provides a ground-breaking opinion on the validity of the IRS position and works to persuade the IRS and Treasury to issue guidance modifying and clarifying its stance on the issue.
- A national service provider is structuring new qualified-plan administrative services and requires comprehensive advice on the ERISA considerations for its innovative service structure.
Result: Caplin & Drysdale provides the advice necessary to ensure that the new services comply with ERISA and the Code and give the service provider a competitive position in the marketplace.
- A major insurance company needs advice on satisfying the section 817(h) diversification requirements for its annuity products.
Result: Caplin & Drysdale provides the advice and legal comfort needed by the insurance company to offer an innovative and competitive product in the annuity marketplace.
Our Services
- Advising on products and services for
- Qualified plans
- Section 403(b) arrangements
- Section 457(b) eligible deferred compensation plans
- Section 457(f) arrangements
- Nonqualified deferred compensation
- Equity-based compensation
- Individual retirement arrangements
- Advising on ERISA compliance
- Advising on nonqualified annuities and life insurance products
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