A comprehensive workshop designed to help you navigate the complexities of working with ERISA and retirement account clients

Pension plans and other employee benefit plans subject to ERISA are among the principal sources of investment capital in the U.S. This timely workshop is designed to provide investment advisers and broker-dealers who advise clients with “plan assets” with what they need to know to comply with both ERISA’s fiduciary duty provisions and the prohibited transaction provisions under the Internal Revenue Code in advisory operations.

At this Workshop, the senior faculty will walk you through the major aspects of compliance with ERISA and the prohibited transaction rules, highlighting affirmative duties, common prohibited transactions for portfolio management and trading, and enhanced disclosure issues, in addition to a range of hot issues for money managers who work with ERISA and retirement account clients.

Don’t miss this opportunity to learn what you as a money management professional need to know to comply with ERISA’s high standards of conduct when managing plan assets. Our expert instructors will provide guidance you need on the latest ERISA and prohibited transaction “hot button” issues affecting money management professionals to operate successfully in today’s regulatory environment. Because failure to comply with ERISA or otherwise engaging in non-exempt prohibited transactions can result in significant penalties, this program is a must for money management professionals in legal, compliance and business positions.