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Description: Significant changes to the Employee Retirement Income Security Act (ERISA) are scheduled to become effective beginning July 1, 2012. Broker-dealers and investment advisers will be required to provide written disclosures to ERISA-covered retirement plan clients detailing their services and compensation. Failure to provide timely and complete information will result in the arrangement becoming a prohibited transaction and subject the firm to substantial penalties, including disgorgement, excise taxes, etc. At the same time, the Department of Labor has begun stepping up its investigation and enforcement activities particularly with respect to retirement plan service providers. Indeed, its national Consultant Adviser Project (CAP) is specifically targeting firms providing pension consulting and/or advisory services for undisclosed or prohibited conflicts of interest. While most firms have developed new plan-level fee disclosures, many broker-dealers and investment advisers report difficulties in developing adequate compliance programs designed to detect and prevent violations of ERISA. Our panel of compliance experts will discuss the challenges arising out of the pending regulations and provide examples of workable solutions to facilitate compliance. Specifically, this Webinar, cosponsored by the National Society of Compliance Professionals and West Law, will cover the following areas: What may be left to do to prepare for the July deadline? How to identify gaps in ERISA compliance strategies? What policies and procedures need to be implemented for ERISA-covered activities? How are firms leveraging third-party resources and technology to facilitate supervision?
| Practice Areas: | | ERISA, Employee Benefits & Compensation | | Online Media Type: | | Audio | | Production Date: | | 06/11/2012 2:00 PM EDT | | Level: | | Intermediate | | Category: | | Standard | | Duration: | | 1 Hours, 0 Minutes | | Online Format: | | Live | | Course Type: | | Public |
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Purchase of this product provides online access for 180 days. If you are purchasing a live webcast, you will receive complimentary access to the on demand version for 180 days once it becomes available. Please note that the on demand and podcast versions may, or may not be accredited in your state.
If you intend to take a course for CLE credit, please make sure your state is listed in the "Accreditation" section to the upper right of the program description. Accreditation displayed is unique to the purchased program format (live conference, live webcast, on demand, podcast). Credit totals listed for live conferences are the maximum credits available. Credits issued will be based upon actual time in attendance. Credit totals for other formats are for complete programs. Partial credit is not available for any online or downloadable format.
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This product is intended for individual use by the named purchaser. Group viewings for online programs may be arranged for five or more attorneys within the same organization prior to viewing by emailing west.wlec-sales@thomson.com.
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| • | Jason C. Roberts - Founder and CEO of the Pension Resource Institute (PRI) | • | Craig R. Watanabe - CSCP,Chief Operating Officer of Penniall & Associates, Inc. in Pasadena, CA. | • | Pamela K. Ziermann - CSCP, Senior Vice President Compliance Dougherty Financial Group LLC | • | Doug Baxley - MBA, CFP, Assistant Vice President, Assistant Director of Compliance for SSN |
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