ERISA Fiduciary Investment Basics 2021

PLI [Practising Law Institute]

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

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