On-Demand   On-Demand Web Programs

ERISA Plan Investments in Financial Markets 2018: The Fundamentals

Released on: Mar. 23, 2018
Running Time: 07:15:08
ERISA plans are major investors in a constantly evolving financial marketplace. Both financial firms designing and selling financial products and plans purchasing financial products need to understand the inner workings of the products in order to analyze them under ERISA and ensure compliance. This course provides an in-depth look at the nuts and bolts of various financial instruments and investment vehicles and the ERISA issues that arise in connection with them. With each focusing on a different type of common plan investment, our panels of capital markets and ERISA experts will explore the interaction between ERISA and the Code and how financial products and markets actually work.

In addition to the credits listed to the right, this program also offers credit for CFP certification. ERISA Plan Investments in Financial Markets 2018: The Fundamentals has been approved by the CFP Board for 8.00 CE credits.

Lecture Topics [Total RunTime: 07:15:08]
Segments with an asterisk (*) are available only with the purchase of the entire program.

  • Opening Remarks* [00:01:02]
    Howard Pianko, Mary E. Alcock
  • ERISA Enacted in 1974 - New Rules Impact Financial Markets; The Prohibited Transaction Class Exemption That Resulted [01:40:41]
    Christina Y. Lee, William E. Ryan III, Javier Hernandez
  • Derivatives and other Financial Instruments [01:31:04]
    Patrick S. Menasco, Linda J. Haynes, Steven W. Rabitz
  • Case Study: New Financial Products and ERISA Plan Investment Compliance – Bitcoins and Other Virtual Currencies [01:01:17]
    Howard Pianko, Alan S. Wilmit, Patricia Anne Kuhn (Invited), Gary DeWaal
  • Commingled Investment Vehicles - VCOC/REOC/Hedge Funds/REITs [01:00:27]
    Alicia C. McCarthy, James S. Frazier, Nicole Rosser, David M. Cohen
  • Alternative Investment Vehicles [00:58:47]
    Sarah L. Burt, Mary E. Alcock, Laura E. Bader
  • Plan Assets Abroad - Foreign Transaction [01:01:50]
    Andrew L. Oringer, Jeanie Cogill, Jeffrey Ross

The purchase price of this Web Program includes the following articles from the Course Handbook available online:

COMPLETE COURSE HANDBOOK

  • ERISA Fiduciary Duties: Overview
    Howard Pianko
  • Fiduciary Litigation Under ERISA (January 31, 2015)
    Robert N. Eccles, Shannon M. Barrett, Howard Pianko
  • Stable Value Funds
    Linda J. Haynes
  • ERISA Regulation of Hedge Fund Investments
    Patrick S. Menasco
  • The Zen “Venn” of ERISA Derivatives Credit Considerations and ERISA’s Grasp on Pooled Investment Vehicles
    Steven W. Rabitz
  • New Financial Products and ERISA Plan Investment Compliance
    Alan S. Wilmit, Patricia Anne Kuhn, Howard Pianko, Gary DeWaal
  • Over Thirty Years Later: Venture Capital Operating Companies and Real Estate Operating Companies Under Department of Labor Plan Asset Regulations (January 4, 2018)
    Alicia C. McCarthy
  • ERISA Investor Checklist for Investment in a Hedge Fund (January 4, 2018)
    Alicia C. McCarthy
  • Plan Assets? Plan Assets! A Brief History of Insurance Company General Accounts
    Mary E. Alcock
  • Happily Ever After?—Investment Funds That Live with ERISA, for Better and for Worse (March 31, 2016)
    Andrew L. Oringer
  • The ERISA Evolution—A Historical Perspective
    Andrew L. Oringer
  • The Sun Never Sets on ERISA—ERISA Implications for Foreign Investment Funds
    Jeffrey A. Lieberman, Andrew L. Oringer

Presentation Material


  • In the United States Court of Appeals For the Fifth Circuit Handout
  • Special Bulletin: Ides of March Special: 5TH Circuit Assassinates DOL Fiduciary Rule Handout
  • A "Clear" Guide to Swaps and to Avoiding Collateral Damage in the World of ERISA and Employee Benefit Plans
    Steven W. Rabitz
  • Alternative Investment Vehicles
    Mary E. Alcock, Laura E. Bader, Sarah L. Burt
  • Seeking Better Retirement Outcomes with Insurance Company Separate Accounts Handout
    Mary E. Alcock
  • Plan Assets Abroad - Foreign Transaction Handout
    Jeanie Cogill, Andrew L. Oringer, Jeffrey Ross
  • Plan Assets Abroad - Foreign Transactions
    Jeanie Cogill, Andrew L. Oringer, Jeffrey Ross
Co-Chair(s)
Mary E. Alcock ~ Cleary Gottlieb Steen & Hamilton LLP
Howard Pianko ~ Seyfarth Shaw LLP
Speaker(s)
Laura E. Bader ~ Jones Day
Sarah L. Burt ~ Vice President, Corporate Counsel, ERISA/Employee Benefits Department, Prudential Insurance Company of America
Jeanie Cogill ~ Morgan, Lewis & Bockius LLP
David M. Cohen ~ Schulte Roth & Zabel
Gary DeWaal ~ Katten Muchin Rosenman LLP
James S. Frazier ~ Cadwalader, Wickersham & Taft LLP
Linda J. Haynes ~ Seyfarth Shaw LLP
Javier Hernandez ~ Curtis, Mallet-Prevost, Colt & Mosle LLP
Patricia Anne Kuhn ~ Managing Director and Associate General Counsel, Investment Management, Bank of America
Christina Y. Lee ~ Executive Director, Morgan Stanley
Alicia C. McCarthy ~ Wachtell, Lipton, Rosen & Katz
Patrick S. Menasco ~ Steptoe & Johnson LLP
Andrew L. Oringer ~ Dechert LLP
Steven W. Rabitz ~ Dechert LLP
Jeffrey Ross ~ Fried, Frank, Harris, Shriver & Jacobson LLP
Nicole Rosser ~ Director, BlackRock Inc.
William E. Ryan III ~ President & Chief Fiduciary Officer, Newport Trust Company
Alan S. Wilmit ~ Managing Director & Associate General Counsel -- Legal Director, ERISA and Benefits, Goldman, Sachs & Co.
General credit information about this format appears below. For credit information specific to this program, please choose your jurisdiction(s) in the Credit Information box on the right-hand side of this page.

PLI’s live and on-demand webcasts are single-user license products intended for an individual registrant only. Credit will be issued only to the individual registered.


U.S. MCLE States

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Arkansas:  PLI’s on-demand web programs are not approved for Arkansas CLE credit.

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Connecticut: Effective January 1, 2017, all PLI products can fulfill Connecticut’s CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Delaware:  PLI’s on-demand web programs qualify as “eCLE” credit. Attorneys are limited to 12 credits of eCLE per reporting period, no more than 6 of which may be audio-only.

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Idaho:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 15 credits of self-study per reporting period.

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Mississippi:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 6 credits of distance learning per reporting period.

Missouri:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.

Montana:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 5 credits of self-study per reporting period.

Nebraska:  PLI’s on-demand web programs qualify as “computer-based learning” credit. Attorneys are limited to 5 credits of computer-based learning per reporting period.

Nevada:  PLI’s on-demand web programs qualify as “self-study” credit. There is no limit to the number of credits an attorney can earn via self-study programs.

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New Jersey:  PLI’s on-demand web programs qualify as “alternative verifiable learning formats” credit. Attorneys are limited to 12 credits of alternative verifiable learning formats per reporting period.

New Mexico:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 4 credits of self-study per reporting period.

New York

Experienced Attorneys:  All PLI products can fulfill New York’s CLE requirements for experienced attorneys. There is no limit to the number of credits an attorney can earn via PLI products.

Newly Admitted Attorneys:  PLI’s transitional on-demand web programs can be used to fulfill the requirements for New York newly admitted attorneys. Only professional practice and law practice management credits may be earned via transitional on-demand web programs. Ethics and skills credits may not be earned via on-demand web programs.

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Rhode Island:  PLI’s on-demand web programs qualify as “video replay” credit. Attorneys are limited to 6 video replay credits per reporting period.

South Carolina:  PLI’s on-demand web programs qualify as “alternatively delivered” credit. Attorneys are limited to 6 credits of alternatively delivered programs per reporting period.

Tennessee:  PLI’s on-demand web programs qualify as “distance learning” credit. Attorneys are limited to 8 credits of distance learning per reporting period.

Texas:  All PLI products can fulfill Texas’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Utah:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 12 credits of self-study per reporting period.

Vermont:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 10 credits of self-study per reporting period.

Virgin Islands:  All PLI products can fulfill the Virgin Islands’ CLE requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Virginia:  PLI’s on-demand web programs qualify as “pre-recorded” credit. Attorneys are limited to 8 credits of pre-recorded programs per reporting period.

Washington:  PLI’s on-demand web programs qualify as “A/V” credit. Attorneys are limited to 22.5 credits of A/V programs per reporting period.

West Virginia:  PLI’s on-demand web programs qualify as “online” credit. Attorneys are limited to 12 credits of online instruction per reporting period.

Wisconsin:  PLI’s on-demand web programs qualify as “repeated, on-demand” credit. Attorneys are limited to 15 credits of repeated, on-demand programs per reporting period. No ethics credits can be earned via on-demand web programs.

Wyoming:  PLI’s on-demand web programs qualify as “self-study” credit. Attorneys are limited to 6 credits of self-study per reporting period.


CPD Jurisdictions

British Columbia (CPD-BC):  PLI’s on-demand web programs are not eligible for CPD-BC credit unless viewed with at least one other attorney or an articled student. In this case, the credit must be recorded as a “study group.”

Ontario (CPD-ON):  PLI’s on-demand web programs qualify as “recorded” credit. If viewed without a colleague, attorneys are limited to 6 credits of recorded programs per year. If viewed with at least one colleague, there is no limit to the number of credits that can be earned via recorded programs.

Quebec (CPD-QC):  PLI’s on-demand web programs can fulfill Quebec’s CPD requirements.

Hong Kong (CPD-HK):  PLI’s on-demand web programs are not approved for CPD-HK credit.

United Kingdom (CPD-UK):  PLI’s on-demand web programs can fulfill the United Kingdom’s CPD requirements.

Australia (CPD-AUS):  PLI’s on-demand web programs may fulfill Australia’s CPD requirements. Credit limits for on-demand web programs vary according to jurisdiction. Please refer to your jurisdiction’s CPD information page for specifics.

Alberta (CPD-ALBERTA):  All PLI products can fulfill Alberta’s CPD requirements. There is no limit to the number of credits an attorney can earn via PLI products.

Dubai (CLPD-DUBAI):  PLI’s on-demand web programs may fulfill CLPD credit requirements.


Other Credit Types

CPE Credit (NASBA):  Select on-demand web programs qualify as the “QAS Self-Study” delivery method. Please check the Credit Information box on the right-hand side of this page to verify CPE credit availability.

IRS Continuing Education (IRS-CE):  PLI’s on-demand web programs may fulfill IRS-CE requirements. To request IRS-CE credit, please notify PLI at plicredits@pli.edu of your request and include your Preparer Tax Identification Number (PTIN).

Certified Fraud Examiner CPE:  PLI’s on-demand web programs may fulfill Certified Fraud Examiner CPE requirements. To request CPE credit or find out which programs offer CPE, please contact PLI at plicredits@pli.edu.

IAPP Continuing Privacy Credit (CPE):  PLI’s on-demand web programs may fulfill Privacy CPE credit requirements.

HR Recertification (HRCI):  PLI’s on-demand web programs may fulfill HR credit requirements.

SHRM Recertification (SHRM):  PLI’s on-demand web programs qualify as "self-paced" credit. SHRM professionals are limited to 30 credits of self-paced programs per recertification period.

Compliance Certification Board (CCB):  PLI’s on-demand web programs qualify as “self-study” credit. Candidates are limited to 10 self-study credits per 12-month period, and certification holders are limited to 20 self-study credits per 2-year renewal period.

Certified Anti-Money Laundering Specialists Certification (CAMS):  PLI’s on-demand web programs are not approved for CAMS credit.

New York State Social Worker Continuing Education (SW CPE):  PLI’s on-demand web programs are not approved for SW CPE credit.

American Bankers Association Professional Certification (ABA):  PLI’s on-demand web programs may fulfill ABA credit requirements.

Certified Financial Planners (CFP):  PLI’s on-demand web programs are not approved for CFP credit.

 

Related Items

Live Programs  Live Programs

ERISA Fiduciary Investment Basics 2019 (New York, NY) Mar. 18, 2019

Handbook  Course Handbook Archive

ERISA Plan Investments in Financial Markets 2018: The Fundamentals Howard Pianko, Seyfarth Shaw LLP
Mary E Alcock, Cleary Gottlieb Steen & Hamilton LLP
 
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