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

Web Segment  Web Segment    

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 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 ...

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
George M. Wilson, MBA, CPA

George M. Wilson, MBA, CPA ~ Director, SEC Institute, a Division of PLI

Mina Park

Mina Park ~ Director, Banking and Capital Markets Origination Legal, Asia Pacific, Citi

Harvey I. Saferstein

Harvey I. Saferstein ~ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C.