Retirement Plan Investment Changes: Meeting Strict ERISA Requirements Amid Increasing DOL Audits and Lawsuits
Complying With Procedural Requirements for Investment Selection, Documentation and Notice
Recording of a 90-minute premium CLE webinar with Q&A
This CLE course 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.
- Procedural requirements for investment selection
- Prudence standards
- ERISA 404(c) protections
- Meeting requirements
- Documentation requirements
- Notice requirements
- Blackout period rules
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?
Mark E. Bokert
Davis & Gilbert
Mr. Bokert is Chair of the firm’s Benefits & Compensation Practice Group. His practice encompasses nearly all... | Read More
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.Close
Jeffrey M. Holdvogt
McDermott Will & Emery
Mr. Holdvogt advises clients regarding a variety of employee benefits matters. His practice focuses primarily on the... | Read More
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.Close