Prohibited Transaction Exemptions

We serve as independent fiduciary representing the interest of participants in situations where the contribution of company assets to a plan requires an exemption from the DOL. In so doing, our responsibilities include:

  • Determining whether the proposed contribution of company assets is in the best interests of participants;
  • Negotiating specific terms under which the contribution will be accepted;
  • Monitoring the performance of the assets and taking actions as appropriate;
  • Performing any other duties specified in the PTE.

Most often the contributed assets are common stock or real estate, but transactions may involve other assets. We have extensive experience in PTE transactions.

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