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Financial Products & Applicable Prohibited Transaction Exemptions

Recorded on: Mar. 3, 2011
Running Time: 00:59:00

Full Transcript:


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Taken from the Web Program ERISA Fiduciary Investment Basics 2011 recorded February, 2011 in New York.

Lecture Topics  [00:59:00]

Financial Products & Applicable Prohibited Transaction Exemptions  [00:59:00]
  • The Big 5:  Status-Based Exemptions (QPAM, INHAM, et al.)
  • Statutory Exemptions (Service Provider et al.)
  • Transaction-Based Exemptions (Agency, Principal, FX, Securities Lending, et al.)
The purchase price of this segment includes the following article from the Course Handbook available online:
  • Summary of ERISA Prohibited Transaction Exemptions for FI Corporate and Investment Bank
    Arthur H. Kohn, Patrick S. Menasco, Erin K. Cho

Presentation Material

  • Select Statutory Exemptions for Banks, Broker-Dealers & Other Financial Institutions
    Patrick S. Menasco
  • The QPAM Exemption
    Erin K. Cho
  • Financial Products & Applicable Prohibited Transaction Exemptions
    Arthur H. Kohn
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