PDF-How to Reduce Ythe Role of Fiduciary Liability InsuranceA Chubb Specia

How to Reduce Your ERISA Risks and the Role of Fiduciary Liability Insurance Contents Foreword 4 Introduction Understanding the ERISA Responsibilities of Plan Sponsors Fiduciaries and Parties in I. g executor or administrator Printed Name 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. Fiduciary Form. 1. Fiduciary Forum . March 2010. Knut . Leipold. , ECSPS. Framework Agreements. March 2010. Fiduciary Form. 2. Agenda. Introduction. Knut . Leipold. , ECSPS, 10 min. Policy & Legal Considerations. . 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. . is brought to you by United Benefit Advisors. in conjunction with Jackson Lewis. For a copy of this presentation, please go to www.UBAbenefits.com. Go to the Wisdom tab and scroll down to HR Webinar Series and click. Under Employer Series . Nigel . Trevethan. Steven Abramson. Mortgage Brokers Association of British Columbia. Kelowna – October 1, 2014. Important . Legal Concepts for Mortgage Brokers. Contract Law. Negligence Law. Misrepresentations. WealthManagement.com. September 2015 DOL COI Survey* Highlights. Knut A. Rostad, President. Institute for the Fiduciary Standard. September 23, . 2015. www.thefiduciaryinstitute.org. Acknowledging Fiduciary Status. Louisiana. Paul Greenwood, Deputy DA – San Diego, CA. (619) 531-4040 email . at paul.greenwood@sdcda.org. Tristan Svare, Deputy DA – San Bernardino, CA. (909) 387-6533 email at . tsvare@sbcda.org. Jesse L. Reynolds – J.L.Reynolds@uvt.nl. Faculty of Law, . University of Tilburg. Today. SRM field research and its risks. Regulating research. Economic analysis of law . Relevant conditions of SRM research. Presented by:. Jeffrey Levine, CPA/PFS, CFP. ®. , CWS. ®. , MSA. Chief Retirement Strategist, Director of Retirement Education. Ed Slott and Company, LLC. Prohibited Transactions Overview. What makes the word . Module 7 Sexual Harassment and Liability Protection The purpose of the Module is to provide information on instructor professionalism, including sexual harassment and liability. Purpose of the Module 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.. Ken Mergen, Vice . President. Zach Karas, Principal. April 10, 2015. . Today’s Agenda. Fiduciary Responsibilities. ERISA vs. Non-ERISA. 3(21), 3(38) Investment Fiduciary. 3(16) Administrative Fiduciary.