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ERISA Fiduciary Investment Basics 2015 -- 401(k) Plan Fiduciary Fundamentals

Web Segment  Web Segment    

From the program: ERISA Fiduciary Investment Basics 2015

Recorded on: Feb. 6, 2015

Taken from the Web Program ERISA Fiduciary Investment Basics 2015 recorded February, 2015 in New York. 401(k) Plan Fiduciary Fundamentals [01:00:54] Through the process of a fiduciary training session, review the fundamental fiduciary considerations applicable to 401(k) and other plans with participant directed account investment: What are the basic fiduciary responsibilities in the context of a 401(k) plan? How does participant ...

Financial Services Conflicts of Interest & Fiduciary Duties 2015: Navigating the Emerging Regulatory Maze -- Sources of Fiduciary Law in the Financial Industry

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From the program: Financial Services Conflicts of Interest & Fiduciary Duties 2015: Navigating the Emerging Regulatory Maze

Recorded on: Apr. 22, 2015

Taken from the Web Program Financial Services Conflicts of Interest & Fiduciary Duties: Navigating the Emerging Regulatory Maze recorded April, 2015 in New York. Sources of Fiduciary Law in the Financial Industry [01:06:26] Securities Laws:  Investment Advisers Act, Securities Exchange Act; State Securities Laws; Municipal  Advisers ERISA Banking Law SEC/DOL fiduciary rule making     The ...

Pension Plan Investments 2015: Current Perspectives -- Current Issues for Financial Institutions

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From the program: Pension Plan Investments 2015: Current Perspectives

Recorded on: Apr. 7, 2015

Taken from the Web Program Pension Plan Investments 2015: Current Perspectives recorded March, 2015 in New York. Current Issues for Financial Institutions [01:12:52] Update on proposed change to “fiduciary” definition related to investment advice Market experience in the wake of the WAMCO enforcement action Part I(g) of the QPAM exemption in the current regulatory environment  Trends and issues in ...

Featured Faculty/Authors
Jae  Kim

Jae Kim ~ Senior Vice President and General Counsel, Rambus Inc.

Lori A. Richards

Lori A. Richards ~ Chief Compliance Officer, Asset Management Unit, JP Morgan & Co

Edwin E. Smith

Edwin E. Smith ~ Morgan Lewis & Bockius LLP