Advising Retirement Plan Clients

 

Webinar – Advising Retirement Plan Clients

Wednesday, July 22, 2015
2:00 - 3:15 p.m. ET

Topics Covered

This webinar will assist investment advisers in determining whether an account is subject to the Employee Retirement Income Security Act (ERISA) and the adviser’s responsibilities to ERISA clients. The discussion will cover advising employers sponsoring ERISA plans, and advising employees and retirees with retirement accounts, including individual retirement accounts (IRAs).

Advising Employers:

  • Plan Assets, Fiduciary Status and Investment Manager Status
  • QPAM Status
  • 408(b)(2) Disclosures
  • Other Issues (Proxy Voting, Soft Dollars, ERISA Bonds, Performance Fees)

Advising Employees and Former Employees:

  • Education vs. Advice
  • Rollovers
  • IRAs and Prohibited Transactions

Presenters

  • Jennifer E. Eller, Principal, Groom Law Group, Chartered
  • D. Scott Schilling, CSCP, Chief Compliance Officer, Morningstar Investment Services, Inc.
  • Kathy Ireland, Associate General Counsel, IAA (Moderator)

Registration

Registration for the live event has closed, but the recording can still be purchased by clicking the "Register" button on this page.

Live Recording Both
Members and Associate Members $125* $125 $200
Non-Members $250* $250 $475

*Per computer login
Registration closes on Monday, July 20, at 5:00 p.m.

Questions?

For questions regarding this webinar, call (202) 293-4222 or email IAAevents@investmentadviser.org.

About the Presenters

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D. Scott Schilling is the Global Chief Compliance Officer for Morningstar, Inc. In this role, Mr. Schilling leads, directs, and manages all compliance and regulatory activities for Morningstar, Inc. and its subsidiaries including overseeing the implementation and maintenance of compliance programs designed to ensure compliance with applicable laws and regulations. Previously, he served as a Senior Compliance Consultant for Lincoln Investment Management. Mr. Schilling holds Series 7, 24, 28, and 63 securities licenses through FINRA. He also holds the Certified Securities Compliance Professional designation through NSCP and has been awarded the Claritas® Investment Certificate by the CFA Institute.

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Jennifer E. Eller is Co-Head of the Groom Law Group’s Fiduciary practice group and one of four members of the firm’s Executive Committee. She advises large public plans, corporate plan sponsors, and financial institutions in connection with the investment of plan assets under U.S. law. Ms. Eller has also worked with banks, thrifts, insurance companies, and service providers on the creation and operation of financial products including collective investment vehicles. She received her J.D. from Georgetown University Law Center, cum laude, and her B.A. from Avila College, magna cum laude.

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Kathy D. Ireland (moderator) is Associate General Counsel of the Investment Adviser Association. Prior to joining the IAA, Ms. Ireland acted as an independent consultant focusing on pension and securities issues. Previously, Ms. Ireland served as Associate Counsel and Senior Associate Counsel at the Investment Company Institute, representing the mutual fund industry in regulatory matters before the Department of Labor, the IRS, and the SEC. She received her B.S. degree, magna cum laude, from Lebanon Valley College, her law degree from the College of William & Mary, and an LL.M. in Labor Law from the George Washington University National Law Center.

Registration Cancellation or Substitution

For the live webinar, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Monday, July 22. There are no refunds for cancellations received after this date. Email your requests to lisa.gillette@investmentadviser.org.