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Does ERISA provide for individual exemptions?

Does ERISA provide for individual exemptions?

Yes. Individual exemptions grant relief from the prohibited transactions provisions for particular transactions identified and described in detail to the Department. Factors considered by the Department of Labor include:

  • The percentage of plan assets involved in the transaction;
  • The return compared to other investments representing a similar risk to the plan;
  • The value of the property involved as determined by an independent appraisal or an independent market mechanism in the transaction; and,
  • Whether an independent fiduciary has reviewed the terms of the transaction and will monitor compliance.
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