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This course provides an introduction to the basics of ERISA fiduciary law using a case study vehicle. At this year’s program, you will learn about the principal issues in ERISA’s regulation of plan investments through a case study of a hypothetical plan asset hedge fund exploring entry in the plan marketplace and a plan investor considering such an alternative investment. The program will also utilize a hypothetical fiduciary training session to provide an introduction to the core ERISA fiduciary issues applicable to defined contribution plans. The final session on ethical considerations relating to ERISA plans adopts a similar interactive approach.
What You Will Learn
- ERISA basics: terminology; structure of ERISA and the Code; fiduciary standards; prohibited transactions and the exemption process; ERISA liability, indemnification and fiduciary liability insurance
- ERISA landscape fundamentals for financial institutions and advisors, including the lasting impact of the rejected fiduciary regulation
- Financial products and prohibited transaction exemptions — considerations and sample transactional analysis
- Through a mock fiduciary training session, the ERISA fundamentals applicable to 401(k) and other defined contribution plans
- Checklist of ERISA considerations in making an investment in alternative investments
- Ethical considerations for the ERISA practitioner
CLE, CPE and CPD
- Transitional credit available
- Earn Ethics and Professional Skills credit
Program Level: Overview
Intended Audience: Practitioners in the field (or who are considering entering the field) seeking to gain a better understanding of financial products available in the marketplace and the regulatory issues that arise from plan investment.
Prerequisites: An interest in or some experience with the financial products available in the marketplace and the regulatory issues that arise from plan investment.
Advanced Preparation: None