CLE - Defining Fiduciary Excellence

The focus of this CLE is the legal requirements and the corresponding best practices of investment fiduciaries as outlined in the Investment Advisers Act of 1940, Employee Retirement Income Security Act (ERISA), Uniform Prudent Investor Act (UPIA) and the Uniform Prudent Management of Institutional Funds Act (UPMIFA). We will include comment and guidance from key regulatory bodies, including the Securities and Exchange Commission, the Department of Labor and the Internal Revenue Service. We will provide a special emphasis on the DOL's proposed fiduciary standard for both ERISA retirement plans and Individual Retirement Arrangements (IRAs), including the Best Interest Conflict Exemption (BICE). We will explore the need for a uniform fiduciary standard based on seven global fiduciary precepts; define who is an Investment Fiduciary and their respective roles and responsibilities; and, identify best practices of investment stewards and their corresponding legal substantiation.
Philadelphia Bar Association 11th Floor Conference Center 1101 Market Street Philadelphia, PA 19107
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