PDF-Finra AIF Accredited Investment Fiduciary

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Finra AIF Accredited Investment Fiduciary: Transcript


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Retirement Security Board. Public retirement plan -. Practical Legal considerations. Marla J. Kreindler. Craig A. Bitman. Morgan, Lewis & . Bockius. LLP. June 3, 2015. Presentation Topics. CRSB is reviewing how to structure the Plan’s IRAs to not be subject to ERISA. The resulting practical implications of the Plan not being subject to ERISA are also important to consider. For example, should CRSB adopt ERISA-type protections for CRSB, Plan Participants and other stakeholders?. Recent Observations, Current Issues. Ron A. Rhoades, JD, CFP®. Program Director, Financial Planning Program. Alfred State College, Alfred, NY. Were Brokers Fiduciaries in 1940?. “Essentially. , . a broker or agent is a fiduciary and he thus standards in a position of trust and confidence with respect to his customer or principal. . Duane R. Thompson, AIFA®. Senior Policy Analyst, fi360. Session Overview . The fiduciary standard exists for the benefit of society, professionals, and, most importantly, the individuals who rely upon fiduciaries. . FIRMA NATIONAL RISK MANAGEMENT . TRAINING CONFERENCE. FORT WORTH, TEXAS. March 25-29, 2012. Presented . by. :. Janice . J. Sackley, CFE . Deborah A. Austin, CTCP. Fiduciary Foresight, LLC SVP, Trust Compliance. Plan Sponsor Fiduciary Risk is Significant. Sources:. 1. www.plansponsor.com/dol-explains-drop-in-2014-collections-number/, 2015. 2. Annual Workplace Class Action Litigation Report: 2015 Edition. , Seyfarth Shaw LLP, 2015. Fiduciary Coverage. Retention/succession. Benefit completion. Cash flow optimization (NQDC). Executive Benefits. Portfolio . management. LDI strategies. Pension . risk transfer. Cost containment. Defined Benefit. An ERISA Primer for Defined Contribution Plan Sponsors. Dan Notto. , ERISA Strategist, Retirement Solutions, J.P. Morgan Asset Management. What is ERISA?. ERISA is the acronym for the Employee Retirement Income Security Act of 1974. “ Letters and Titles and Tags, Oh My!” FIRMA NATIONAL RISK MANAGEMENT TRAINING CONFERENCE FORT WORTH, TEXAS March 25-29, 2012 Presented by : Janice J. Sackley, CFE Deborah A. Austin, CTCP Fiduciary Foresight, LLC SVP, Trust Compliance What . Do You Need to Know . and Do Now?. Agenda. Rollout of New Rule. New Fiduciary Advice Definition. Exclusions from Fiduciary Advice Definition . BIC Exemption. PTE 84-24. Fee Levelization. Robo-Advice. February 25, 2015 . CIEBA. A brief history of . ERISA:. Statute enacted September 2, 1974 in response to Congressional concern . over . mismanagement and misappropriation of . funds.. Statute applies only to employee benefit plans of private employers and employee organizations.. April 28, 2014. Geoff Suval, ChFC®, LUTCF, . Investment Advisory Representative. Securities and Advisory Services offered through Financial Telesis Inc., member SIPC/FINRA.  . Financial Telesis Inc. and RCM&D are not affiliated companies.. Get Finra AIFA Accredited Investment Fiduciary Analyst Practice Course



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