ASPPA Webcast: How to Avoid or Mitigate Fiduciary Risk
Available until March 7, 2019
Speakers: Bruce L. Ashton, APM; and Fred Reish, APM, Partners, Employee Benefits and Executive Compensation Practice Group, Drinker Biddle & Reath.
Experience Level for Attendees: Intermediate to Advanced
IRS Program Number: CZTXU-Q-00856-18-O
Even if you are generally familiar with the fiduciary rules, there can be unexpected pitfalls. This webcast will identify where fiduciary status can exist and explain how to avoid some unwanted surprises, including prohibited transactions. Discuss the unique risks of taking on a 3(16) administrative fiduciary role, the risk exposure of owners or employees of a TPA who make insurance or investment recommendations to plans or participants, and how recordkeepers can help with investments and advice without becoming fiduciaries.
1. How you can inadvertently become a fiduciary
2. Steps you can take to avoid a fiduciary surprise
3. How to avoid problems when you are a fiduciary
CE Credit: 2 ARA, 2 ERPA, 2 JBEA Core
About the Speakers
Bruce Ashton is a partner in the employee benefits and executive compensation practice group of Drinker Biddle & Reath LLP. His practices focuses on all aspects of employee benefits issues, including representing public and private sector plans and their sponsors, negotiating IRS remedial corrections, advising fiduciaries, and representing plan service providers (including RIAs, independent recordkeepers, TPAs, broker-dealers, and insurance companies) about ERISA issues. Combining his employee benefits and transactional expertise, Bruce also handles ESOP matters.
Fred Reish is an ERISA attorney whose practice focuses on fiduciary responsibility, prohibited transactions, plan qualification, and operational issues. He has been recognized as one of the “Legends” of the retirement industry by both PLANADVISER magazine and PLANSPONSOR magazine. Fred has received awards for the 401(k) Industry’s Most Influential Person by 401kWire; one of RIABiz’s ten most influential individuals in the 401(k) industry affecting RIAs; the Commissioner’s Award and the District Director’s Award by the IRS; the Eidson Founder’s Award by ASPPA; the Institutional Investor and the PLANSPONSOR magazine Lifetime Achievement Awards; and the ASPPA/Morningstar 401(k) Leadership Award. He has written more than 350 articles and four books about retirement plans, including a monthly column on 401(k) fiduciary issues for PLANSPONSOR magazine. Fred co-chaired the IRS Los Angeles Benefits Conference for over ten years, served as a founding co-chair of the ASPPA 401(k) Summit, and has served on the Steering Committee for the DOL National Conference.
|ASPPA Member: $115
||ASPPA Member: $45
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