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Course/Product Description
Title:

Retirement Plan Investment Changes: Meeting Strict ERISA Requirements Amid Increasing DOL Audits and Lawsuits

SKU:WC-1014878
Date / Time: Recorded
Format: Webinar
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Description:

This webinar will provide ERISA counsel and plan fiduciaries with a plan of action for selecting investments and making investment changes within retirement plans in an environment of increased DOL audits and lawsuits. Our experienced panelists will discuss the requirements governing selection, documentation, notice and more.


Description

Retirement plans operate within an increasingly unstable environment. DOL audits and lawsuits are on the rise. ERISA counsel must be prepared to advise fiduciary committees on the complex and still-developing rules governing plan investments, including investment selection and changes.

Plan fiduciaries and sponsors face liability when they fail to operate prudently in reviewing and selecting new investments. They must engage in a process that passes muster under a stringent standard of care keeping in mind that ERISA §404(c) may not provide expected liability protections.

In addition to operating prudently, fiduciaries must document their processes appropriately to prepare for the increased likelihood of being audited by the DOL or being sued. Counsel must be knowledgeable of ERISA notice regulations, including complex Sarbanes-Oxley blackout period rules.

Listen as our authoritative panel reviews the specific requirements involving the choice of investments and alternatives, documentation requirements, and notice rules to include the strict blackout period regulations pursuant to Sarbanes-Oxley. The panelists will provide best practices to avoid liability pitfalls when reviewing and selecting new investment choices.


Outline

  • Procedural requirements for investment selection
    • Prudence standards
    • ERISA 404(c) protections
    • Meeting requirements
    • Monitoring


  • Documentation requirements
  • Notice requirements
      Blackout period rules


Benefits

The panel will review these and other key issues:

  • The latest developments and trends in the area of fiduciary compliance.
  • What to do about difficult fiduciary issues, such as employer stock and revenue sharing?
  • How to deal with brokerage windows and socially responsible funds.
  • What are the ERISA requirements regarding investment selection? How is the prudent standard applied to plan sponsors and fiduciaries?
  • How must fiduciaries best utilize the protections afforded to them by §404(c)? What are its limitations?
  • What best documentation practices should be implemented and how will they operate to protect fiduciaries during a DOL audit?
  • How must fiduciaries notify all of those affected by investment asset changes? How do the Sarbanes-Oxley blackout period rules apply?


Faculty

Mark E. Bokert, Partner
Davis & Gilbert, New York

Mr. Bokert is Chair of the firm’s Benefits & Compensation Practice Group. His practice encompasses nearly all aspects of executive compensation and employee benefits. For nearly 20 years Mr. Bokert has advised clients on the design, establishment, administration and termination of their plans. He has extensive experience in counseling plan committees on their fiduciary responsibilities under ERISA.

Jeffrey M. Holdvogt, Partner
McDermott Will & Emery, Chicago

Mr. Holdvogt advises clients regarding a variety of employee benefits matters. His practice focuses primarily on the design, amendment and administration of pension plans, 401(k)’s, and nonqualified deferred compensation arrangements. Mr. Holdvogt has assisted clients with internal compliance reviews and with voluntary correction filings for fiduciary violations and plan document and administrative errors, and routinely represents clients in negotiations before the IRS, DOL and the Pension Benefit Guaranty Corp.


Cannot Attend The Live Presentation?

This presentation is also available in a recorded format, in CD version, as shown in the pricing options below.

About Webcasts / Audio Conferences / Podcasts:

Webcasts, audio conferences, and podcasts are presentations that you attend via the Internet, phone, or mobile device at a specified date and time for "live" versions, or at your convenience for "recorded" and "On-Demand" versions.

The live versions are interactive, meaning that participants can ask questions in real time, plus are a very cost-effective form of training because 1) you receive fast, convenient learning without any out-of-office time; 2) you can invite as many colleagues as you'd like to listen in on a single phone line; 3) you incur no travel expenses; and 4) you and your colleagues are back at work immediately after the session ends!

And though with recorded versions you do lose the ability to ask questions, you gain the ability to hear the presentation numerous times and to share it with others in your office.

Handout materials and the phone number for live presentations are made available to you prior to the event via email from the presenter and from the "MyAccount" link on the menu bar. Copies of the presentations are included with recorded versions.

About The Provider: Strafford Publications, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be addressed to the National Registry of CPE Sponsors, 150 Fourth Avenue North, Suite 700, Nashville, TN, 37219-2417 or by visiting their website.

Strafford webinars and teleconferences offer an excellent opportunity to train your entire staff—with no lost travel time or expenses. They are extremely cost-effective—allowing an unlimited number of people at your location to listen from a single line at no additional charge.

Each live seminar features presentations by a panel of nationally recognized authorities, followed by an interactive Q&A session. Presentation materials can be viewed online or printed out. Audio can be accessed via the web or a telephone.
More Info: Contact Us For More Information
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