ASPPA Webcast: How to Avoid or Mitigate Fiduciary Risk

By ASPPA Net Staff • November 15, 2017 • 0 Comments
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

Webcast Outline


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.

Key Takeaways:
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

Registration Deadlines: 
On-Demand: 3/7/2019

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.

Individual Viewer Additional Viewers 
ASPPA Member: $115 ASPPA Member: $45
Non-Member: $190 Non-Member: $70


Registration for on-demand recorded webcast includes unlimited viewing of the webcast recording to play any time before the one-year expiration date, webcast outline, and any additional presentation materials. Recordings are available one week after the live webcast takes place.

Webcast Package Pricing:

Please click here for information on package pricing for classroom style webcasts and web-course viewing. For more details on additional training package offerings, please contact

Methods of Registration:

To prevent duplication of payment, please select only one method of registration. Once your registration is processed, you will receive an electronic registration confirmation to the email address listed on your registration form.

  • Download a registration form.
  • Online: For credit card payment only. Receive an immediate email Registration Confirmation. 
  • Email your scanned registration form(s) and credit card information to
  • Fax your scanned registration form(s) and credit card information to 703-516-9308.
  • Mail: American Retirement Association, PO Box 34725, Alexandria, VA 22334-0725 
    For express/overnight deliveries (FedEx/DHL, etc.), send to: American Retirement Association, 4245 North Fairfax Drive, Suite 750, Arlington, VA 22203

Make checks payable to the American Retirement Association.

General Information

Cancellation Policy:

All webcasts are non-refundable. If you have registered for the live webcast and are unable to attend, please email and request to transfer your registration to the recorded version. This request must be made before the live webcast takes place.

Statements and materials presented on American Retirement Association webcasts are solely the opinions of the speakers and do not represent the opinion or the position of the American Retirement Association. The American Retirement Association assumes no responsibility for the content and materials presented by speakers during the webcast.


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