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About this Conference
ERISA for Money Managers
June 4, 2009
Thomson Hall New York, NY
Strategies for the latest issues confronting money managers who work with ERISA and retirement account clients.
Register at 1-800-308-1700
FACULTY
Join 3 industry experts. This program is a must for money management professionals in legal, compliance and business positionsSee all speakers
Conference Agenda
DAY ONE
8am 9am
REGISTRATION AND BREAKFAST
9am 10am
FIDUCIARY DUTY AND STATUS
Who is a Fiduciary
Status as Parties-in-Interest and Service Providers
Consequences of Fiduciary Status
Inadvertent Fiduciaries
Prohibited Transactions under ERISA and the Internal Revenue Code
10am 11:15am
COMMON PROHIBITED TRANSACTIONS FOR PORTFOLIO MANAGEMENT AND TRADING
Cross Trades
Use of Affiliated Broker-Dealers
Alternative Crossing Networks and Venues
Underwriter Exemptions
Securities Lending
Error Correction
11:15am 11:30pm
COFFEE BREAK
11:30am 12:15pm
ERISA FIDUCIARY LITIGATION AND ENFORCEMENT UPDATE
401(k) Fee Cases
Proprietary Mutual Fund Cases
Recent Enforcement Activities
12:15pm 1pm
QPAM AND INHAM EXEMPTIONS
When Needed
Types of Transactions Covered
Requirements
1pm 2pm
LUNCHEON
2pm 3pm
COFFEE BREAK
2:30pm 3:30pm
HOT ISSUES FOR INVESTMENT ADVISERS WITH ERISA CLIENTS
New Schedule C to Form 5500 (Disclosure of Service Provider Compensation)
Revisions to Necessary Services Exemption (ERISA Section 408(b)(2))
LM-10 (Disclosure of Gifts and Payments to Labor Unions)
Proxy Voting and Shareholder Activism
Soft Dollars
3pm 3:15pm
COFFEE BREAK 3:15pm 4pm
HEDGE FUNDS
Plan Asset Rule
Plan Asset Funds vs. Non-Plan Asset Funds
Co-Investing and Allocation of Investment Opportunities
Incentive Fees and Valuation Issues
Prime Broker Risk
Counter Party Risk
4pm 5pm
PROVIDING ADVICE TO IRAs AND 401(k) PLAN PARTICIPANTS
404(c) Compliance
Affiliated Mutual Funds
Participant Education and Advice
Wrap-Fee Arrangements and Managed Account Programs
Qualified Default Investment Alternatives
New regulations for 408g-1 and 408g-2
Conference Faculty
SPEAKERS
Gerald T. Lins General Counsel,ING Investment Management Americas, New York, NY
William A. Schmidt Partner, K&L Gates, Washington, D.C.
David M. Cohen Partner, Schulte Roth & Zabel, LLP, New York, NY, David Cohen
Thomas S. Harman Partner, Morgan, Lewis & Bockius
Jeffrey Lieberman Partner, Clifford Chance
Andrew L. Oringer Partner, White & Case
Marie E. Picard Counsel, ING
Steven W. Rabitz Partner, Stroock & Stroock & Levan
Edward J. Rayner Partner, Katten Muchin Rosenman
William E. Ryan, III Executive Director, Morgan Stanley
William A. Schmidt Partner, Kirkpatrick & Lockhart Preston Gates Ellis
Alan Wilmit Managing Director, Goldman Sachs & Co.
Suzzanne Yao Vice-President, Goldman Sachs & Co.
Register at 1-800-308-1700
Practice Areas: ERISA, Employee Benefits & Compensation Course Format: Live Conference Date: 06/04/2009 Category: Premium Duration: 8 Hours, 0 Minutes Schedule 06/04/2009 9:00 AM - 5:00 PM US/Eastern Course Type: Public Location: Thomson Hall 195 BROADWAY FL 4 New York, NY - 10007-3124 United States
Cancellation Policy No cancellations permitted less than two weeks prior to the start of the conference. For Customer Service inquiries, please call (800) 308-1700. 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.
West LegalEdcenter will not provide accreditation for states not listed.
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