Upcoming Webinar | DOL Investigations of Registered Investment Advisers Under ERISA – What Should You Know? What Can You Do?

Investigating financial service providers to 401(k), 403(b) and other retirement plans for compliance with ERISA remains an area of focus for the U.S. Department of Labor (DOL) Employee Benefits Security Administration.

Join members of Faegre Drinker’s ERISA financial services team on April 27 from noon to 1:00 p.m. CT, as we explore what registered investment advisers can expect if they are selected for an investigation and best practices for getting through an investigation and negotiating a favorable resolution as quickly and painlessly as possible. While the focus will be on RIAs, this session should be informative for broker-dealers and dual registrants as well.

The panel will discuss such topics as:

  • Reasons why your organization might be selected for an investigation
  • How, and how quickly, you can expect the investigation to progress
  • Managing the scope of document production and other informational requests, as well as interviews of your advisory and compliance personnel
  • Current “hot topics” on the DOL’s enforcement radar and what we see on the horizon
  • Special issues relating to proprietary products and services, including their use by “in-house” retirement plans
  • Negotiating resolutions, avoiding financial penalties and minimizing potential reputational risks

Register for the Event

The material contained in this communication is informational, general in nature and does not constitute legal advice. The material contained in this communication should not be relied upon or used without consulting a lawyer to consider your specific circumstances. This communication was published on the date specified and may not include any changes in the topics, laws, rules or regulations covered. Receipt of this communication does not establish an attorney-client relationship. In some jurisdictions, this communication may be considered attorney advertising.

About the Author: Megan E. Hladilek

Megan Hladilek counsels employers, fiduciaries and service providers in employee benefits matters, helping them design and revise plans and service contracts that are both strategic and compliant.

About the Author: Brad Campbell

About the Author: Joshua Waldbeser

Joshua J. Waldbeser counsels plan sponsors and committees with respect to their fiduciary responsibilities under ERISA, as well as design and operational considerations for 401(k) plans, ESOPs and other defined contribution plans, cash balance and traditional defined benefit plans, and deferred compensation arrangements of all types. Josh also works extensively with insurance companies, investment advisors and funds, banks and trust companies, broker-dealers, record keepers, TPAs and other service providers with respect to ERISA, tax, securities and other compliance matters, including investment and fiduciary issues, as well as prohibited transactions and exemptions.

About the Author: Phil Gutwein

Phil Gutwein focuses his practice in employee benefits law. He helps employers and fiduciaries design plans, operate within tax and benefits regulations, structure executive compensation, manage benefits issues during transactions and resolve benefits-related disputes (ERISA and non-ERISA).

About the Author: Douglas Heffernan

Doug Heffernan solves employee benefits and executive compensation challenges for employers and providers of financial products and services. He helps design plans and programs to accomplish the client’s objectives while minimizing risk. Doug offers creative solutions to fix operational problems that inevitably occur.

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