ERISA Update

 

Webinar - ERISA Fiduciary Update: Changes Investment Advisers Should Put in Place Before April 10

Friday, October 21, 2016
2:00 – 3:15 p.m. (ET)

Learn about the changes your firm needs to make before the Department of Labor’s final rule on the definition of fiduciary under ERISA goes into effect on April 10, 2017.

Topics Covered

This webinar will provide an update on the implementation of the DOL’s rule on the definition of fiduciary under ERISA. Expert speakers will discuss the final rule, the Best Interest Contract exemption, and other DOL guidance. The presentation will address the rule’s impact on:

  • Marketing your investment management services
  • RFP responses
  • Rollover recommendations
  • Onboarding procedures
  • Investment management agreements

Presenters

  • David C. Kaleda, Principal, Groom Law Group
  • George M. Sepsakos, Associate, Groom Law Group
  • Kathy D. Ireland, Associate General Counsel, IAA (moderator)

Webinar Audio Platform

Audio for this webinar will be broadcast through the internet via your computer speakers. There is no telephone dial-in option. You may consider using headphones. The webinar will be recorded and the recording link sent to you within a week after the live event.

Registration

Registration for the live event is now closed. Click the "Register" button on this page to order the recording.

IAA Members and IAA Associate Members: The live webinar and recorded webinar are complimentary. (Registrations made on or before October 19 are automatically registered for both the live webinar and the recording.)

Non-Members: The live webinar is $250 (per computer logon). The recorded webinar is $250. The cost for both is $475.

Questions?

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

About the Presenters

David C. Kaleda is a Principal in the Fiduciary Responsibility practice group at Groom Law Group. Mr. Kaleda has an extensive background in the employee benefits and financial services sector. His broad range of experience includes handling fiduciary matters impacting plan sponsors, investment and fiduciary committees, investment managers and advisers, record keepers, and other service providers. He advises clients on the avoidance and resolution of prohibited transaction issues, the structuring of alternative investment funds (including "plan asset" funds, real estate operating companies, and venture capital operating companies), and day-to-day compliance issues arising under ERISA and the Internal Revenue Code. He also has substantial experience dealing with tax issues involving qualified plans and representing clients before the DOL and the IRS. Mr. Kaleda served on the DOL's ERISA Advisory Council for a three-year term (2012-2014). Download to see image
George M. Sepsakos is an Associate in the Fiduciary Responsibility group at Groom Law Group. His practice focuses primarily on issues related to Title I of ERISA, including fiduciary responsibility and prohibited transaction issues. Prior to joining the firm, Mr. Sepsakos worked as an ERISA Enforcement Advisor within the Office of Enforcement of the Department of Labor's Employee Benefits Security Administration. Download to see image
Kathy D. Ireland is Associate General Counsel for the IAA, where her expertise includes ERISA related issues. Prior to joining the IAA, she acted as an independent consultant focusing on pension and securities issues. In addition, Ms. Ireland worked at the Investment Company Institute for 12 years, representing the mutual fund industry in regulatory matters before the DOL, the IRS, and the SEC. She also worked as an attorney in the Division of Investment Management at the SEC, and as an Associate and Of Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher. She is a member of the District of Columbia and Maryland Bars. Ms. Ireland earned 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. Download to see image

Paid Registration Cancellation or Substitution

For paid registrations, cancellations and substitutions must be received in writing no later than 5:00 p.m. (ET) Wednesday, October 19, 2016. There are no refunds for cancellations received after this date. Email your requests to megan.olson@investmentadviser.org.