ERISA Retirement Plans: Mitigating Liability Risks for Hedge and Private Equity Fund Alternative Investments
Exercising Due Diligence to Avoid Investment Landmines for Investors and Fund Managers
Recording of a 90-minute premium CLE webinar with Q&A
This CLE course will provide ERISA and asset management counsel with a review of due diligence practices for fund managers, trustees and plan administrators. The panel will offer best practices to mitigate regulatory scrutiny and lawsuits by plan participants.
Outline
- ERISA fiduciary duties for institutional investors and asset managers
- Hedge funds and private equity funds compared to traditional investments
- “Plan assets” status
- ERISA fiduciary duties
- Prohibited transaction considerations and exemption strategies
- Specific issues
- Fee arrangements
- Valuation
- Indemnification
- Liquidity
- Disclosure
- Liability
- Due diligence planning
Benefits
The panel will review these and other relevant questions:
- What are the regulatory concerns for ERISA plans that allocate assets to hedge funds and private equity funds?
- What are the potential consequences for alternative asset managers that fail to comply with their ERISA fiduciary obligations?
- How should alternative asset managers prepare to comply with their fiduciary standards?
Faculty
Alexander P. Ryan
Principal
Groom Law Group
Mr. Ryan represents ERISA plan sponsors, administrators, trustees and various financial service providers in a variety... | Read More
Mr. Ryan represents ERISA plan sponsors, administrators, trustees and various financial service providers in a variety of matters involving the administration of employee benefit plans, with a particular focus on issues related to investment of plan funds. Mr. Ryan frequently advises plan sponsors and their fiduciaries in all aspects of plan investments, including the design and implementation of complex investment transactions. He has experience counseling clients with respect to private equity funds, real estate funds, hedge funds, and various other forms of alternative investments, as well as collective trusts, mutual funds and separately managed accounts. Mr. Ryan has represented clients in matters before and involving the SEC and the DOL.
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Tiffany N. Santos
Director
Trucker Huss
Ms. Santos counsels employers and multiemployer trusts on all aspects of their employee benefit plans, including... | Read More
Ms. Santos counsels employers and multiemployer trusts on all aspects of their employee benefit plans, including health and welfare plans, Section 125 cafeteria plans, and qualified retirement plans. She is a frequent speaker on health plan matters, including health care reform, HIPAA, COBRA, and cafeteria plans, and on investment-related matters, including ERISA’s impact on alternative investments.
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