Regulatory Compliance Association Reviews

ERISA – Emerging Issues for Fund Managers and Investment Advisers™

Practice Edge 02

Capital in pension plans and other employee benefit plans subject to the Employee Retirement Income Security Act of 1974 has been referred to as the “biggest lump of money in the world.”  Increasingly, fund managers and other investment advisers have been looking to ERISA plans as key sources of investment capital.

At the same time, there has been a trend to collective investing, with implications for how ERISA may apply to plan investors.  Over time, more and more funds of certain types have shown a willingness to accept investment from ERISA plans even if the fund itself might become subject to ERISA.

The Practice Readiness Series shall give a brief overview of ERISA’s fiduciary rules, and then discuss a number of emerging issues. In order to address these emerging issues and risks, the RCA’s Law and Masters Concentration Faculty, and Guest Lecturers, including ERISA partners at major law firms and ERISA attorneys at major investment banks, shall provide an in depth, candid discussion and provide practical commentary regarding key concerns including:

  • Trends in litigation;
  • The Department of Labor’s withdrawn fiduciary (“investment advice”) regulations, which are expected to be reproposed in some form;
  • Development in rules governing disclosure;
  • Recent developments under Dodd-Frank;
  • New authority on swaps; and
  • Developments regarding direct and indirect plan investments in futures and other commodities.

Session Chairman:
Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow From Practice:
Andrew Oringer,  JD, Partner and Co-Chair of the Employee Benefits and Executive Compensation Group, Dechert LLP

Guest Lecturers:
Steven Rabitz,  JD, LLM, Partner, Stroock & Stroock & Lavan
William Ryan,  JD, Executive Director, Morgan Stanley
Peter Haller,  JD, CPA, Director and Head of the Regulatory Advisory Group, Credit Suisse

To Access This Title and the Host of Courses Contained Within the PracticeEdge Elite Course Catalog, Click Here to Subscribe to PracticeEdge Elite.