Please note that this program will only be offered as a live webcast. Speakers will be participating in the program remotely. As always, webcast attendees have access to all program materials, and will be able to view all program slides and submit questions to the speakers during the presentation. We thank you for your understanding as we follow the guidance of local health officials and work to provide a safe learning environment for both attendees and faculty.

1-Day Program

See Credit Details Below

Overview

 

This course provides an introduction to the basics of ERISA fiduciary law using a case study vehicle. At this year’s program, you will learn about the principal issues in ERISA’s regulation of plan investments through a case study of a hypothetical plan asset hedge fund exploring entry in the plan marketplace and a plan investor considering such an alternative investment. The program will also utilize a hypothetical fiduciary training session to provide an introduction to the core ERISA fiduciary issues applicable to defined contribution plans. The final session on ethical considerations relating to ERISA plans adopts a similar interactive approach. 

What You Will Learn

  • ERISA basics: terminology; structure of ERISA and the Code; fiduciary standards; prohibited transactions and the exemption process; ERISA liability, indemnification and fiduciary liability insurance
  • ERISA landscape fundamentals for financial institutions and advisors, including the lasting impact of the rejected fiduciary regulation
  • Financial products and prohibited transaction exemptions — considerations and sample transactional analysis
  • Through a mock fiduciary training session, the ERISA fundamentals applicable to 401(k) and other defined contribution plans
  • Checklist of ERISA considerations in making an investment in alternative investments
  • Ethical considerations for the ERISA practitioner

Credit Offered

CLE, CPE and CPD

Special Features

  • Transitional credit available
  • Earn Ethics and Professional Skills credit 

Program Level: Overview

Intended Audience: Practitioners in the field (or who are considering entering the field) seeking to gain a better understanding of financial products available in the marketplace and the regulatory issues that arise from plan investment. 

Prerequisites: An interest in or some experience with the financial products available in the marketplace and the regulatory issues that arise from plan investment.

Advanced Preparation: None 

Topics
Employee benefits Employer securities Fiduciary responsibility rules (Employee benefits)

Credit Details

Schedule & Location