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Overview
Why you should attend
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 also will 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
- ERISA Landscape Fundamentals for Financial Institutions and Advisors
- 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
Special Features
One full hour of Ethics!
Who should attend
Practitioners in the field (or who are considering entering the field) seeking a solid foundation in ERISA fiduciary investment rules, and to build on their level of expertise in the area, and to solidify their understanding of the regulatory framework.