West Legalworks's ERISA for Money Managers

This program has been approved in accordance with the requirements of the Continuing Legal Education Board. CLE Credit will be granted to attorneys.

Click here for the official website and registration form. (New York, NY)

Driven by the market melt-down, ERISA lawsuits are rapidly becoming the most common type of cases congesting the court system. Many 401(k) and pension plan fiduciaries are faced with a greater than ever risk of ERISA litigation exposure. This coupled with the significant penalties generated by ERISA non-compliance, makes the workshop a must for investment advisers and broker-dealers who advise clients with plan assets. It is imperative that they thoroughly understand both ERISA fiduciary duty provisions and the prohibited transaction provisions under the IRS code.

At this interactive workshop, the senior faculty will walk you through the major aspects of compliance with ERISA and the prohibited transaction rules highlighting affirmative duties, legal responsibilities of investment fiduciaries, common prohibited transactions for portfolio management and trading, and enhanced disclosure issues, in addition to a range of hot issues for money managers who work with ERISA and retirement account clients.

The cost of compliance failure is high. Don’t miss this opportunity to meet with expert faculty. This program is a must for money management professionals in legal, compliance and business positions.

Steven W. Rabitz, Partner
Stroock & Stroock & Lavan LLP

Common Prohibited Transactions for Portfolio Management and Trading