Collective Investment Trusts and 401(k) Plan Investments: Guidance for Fiduciaries and Employee Benefits Counsel
Recording of a 90-minute premium CLE video webinar with Q&A
This CLE webinar will provide guidance to fiduciaries and employer benefits counsel on key issues and legal considerations for the use of collective investment trusts (CITs) in 401(k) plans and other qualified retirement plan investments. The panel will discuss applicable federal regulations and requirements, reviewing CIT terms, investment manager appointments, vetting fiduciary risks, monitoring procedures, reporting requirements, and other key issues to consider.
- Overview of CITs
- DOL and SEC regulatory framework for CIT funds
- ERISA fiduciary rules and liability
- Compliance and risk mitigation strategies
- Best practices for ERISA counsel and fiduciaries
The panel will review these and other key questions:
- How do CITs compare with registered mutual funds?
- What are the regulatory considerations in establishing and operating CITs?
- What are the fiduciary and compliance risks?
- What risk mitigation strategies are available to plan sponsors and fiduciaries?
- What are recent trends in ERISA litigation relating to CITs?
Groom Law Group
Mr. Roberts has more than 25 years of experience in advising insurance and annuity providers, banks, and other... | Read More
Mr. Roberts has more than 25 years of experience in advising insurance and annuity providers, banks, and other financial institutions on ERISA fiduciary and related legal matters involving retirement product and service offerings.Close
George M. Sepsakos
Groom Law Group
Mr. Sepsakos represents clients on a broad range of ERISA, federal tax and securities law matters. His practice is... | Read More
Mr. Sepsakos represents clients on a broad range of ERISA, federal tax and securities law matters. His practice is primarily focused on issues related to Title I of ERISA, including fiduciary responsibility and prohibited transaction issues.Close