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Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants -- Dual-Registrant Advice in the Retirement Marketplace

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From the program: Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants

Recorded on: Feb. 22, 2014

Taken from the Web Program Broker-Dealer Advisory Services 2014: Current Legal and Compliance Issues Facing Dual Registrants recorded February, 2014 in New York.Lecture Topics  [01:01:02]Dual-Registrant Advice in the Retirement Marketplace  [01:01:02] What it means to be an ERISA Fiduciary ERISA Fiduciary Duty Redefinition IRA Rollovers DOL’s Exam and Enforcement Trends The purchase price of this segment includes the following ...

ERISA: The Evolving World 2014 -- 401(k) Plan Fundamentals, Title IV Defined Benefit Plans, and Fiduciary Responsibility and Prohibited Transactions

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From the program: ERISA: The Evolving World 2014

Recorded on: Aug. 6, 2014

Taken from the Web Program ERISA: The Evolving World 2014 recorded August, 2014 in New York.Lecture Topics  [02:47:24]401(k) Plan Fundamentals, Title IV Defined Benefit Plans, and Fiduciary Responsibility and Prohibited Transactions  [02:47:24] A. 401(k) Fundamentals Basic design features Special nondiscrimination rules Special distributuion rules B. Title IV - Defined Benefit Plans: Design Funding, the PBGC, Plan Terminations ...

ERISA Fiduciary Investment Basics 2014 -- 401(k) Plan Fiduciary Training

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From the program: ERISA Fiduciary Investment Basics 2014

Recorded on: Feb. 6, 2014

Taken from the Web Program ERISA Fiduciary Investment Basics 2014 recorded February, 2014 in New York.Lecture Topics  [01:01:50]401(k) Plan Fiduciary Training  [01:01:50]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 ...

Hot Issues in Executive Compensation 2014 -- Compensation Challenges in Corporate Transactions

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From the program: Hot Issues in Executive Compensation 2014

Recorded on: Sep. 16, 2014

Taken from the Web Program Hot Issues in Executive Compensation 2014 recorded September, 2014 in New York.Lecture Topics  [01:01:53]Compensation Challenges in Corporate Transactions  [01:01:53] Change in Control Severance Arrangements Restructuring Existing Arrangements in Light of 409A Treatment of Equity Awards in all Cash and Mixed Consideration Transactions Special Issues in Spin-Offs, Split-Offs and Initial Public Offerings ...

Pension Plan Investments 2014: Current Perspectives -- Controlled Group and Termination Liability Developments

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From the program: Pension Plan Investments 2014: Current Perspectives

Recorded on: Apr. 3, 2014

Taken from the Web Program Pension Plan Investments 2014: Current Perspectives recorded April, 2014 in New York.Lecture Topics  [00:54:29]Controlled Group and Termination Liability Developments  [00:54:29] Implications of the Sun Capital decision re: “trade or business” Implication of the Asahi case re: controlled group liability Implications of the St. Gobain case and update on the PBGC’s early warning program The purchase price ...

Featured Faculty/Authors
Kevin J. Ryan

Kevin J. Ryan ~ Managing Director, Global Capital Markets, Morgan Stanley

David G. Keyko

David G. Keyko ~ Pillsbury Winthrop Shaw Pittman LLP

Alyssa A. Grikscheit

Alyssa A. Grikscheit ~ Sidley Austin LLP