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ERISA Retirement Plan Fiduciary Responsibility Practicing Fiduciary Prudence Workshop

ERISA Retirement Plan Fiduciary Responsibility Practicing Fiduciary Prudence Workshop

ERISA Retirement Plan Fiduciary Responsibility Practicing Fiduciary Prudence Workshop. 2006 Benefits New York Conference New York, NY March 13, 2006 11:00 AM – 11:50 AM. About Your Presenters.

By mike_john
(876 views)

Keeping Up With DC

Keeping Up With DC

Keeping Up With DC. Marcia S. Wagner, Esq. 1. Broader “Fiduciary” Definition 2. Target Date Funds 3. Automatic IRA Legislation. Broader “Fiduciary” Definition. ERISA and Conflicts. Fiduciary standards under ERISA are the highest known to the law.

By Pat_Xavi
(230 views)

Board of Directors Roles and Responsibilities

Board of Directors Roles and Responsibilities

Board of Directors Roles and Responsibilities . Chapter IV. Chapter Objectives: . • Identify the difference between decision management and decision control. • Understand the role of the board of directors.

By bayley
(654 views)

Chapter 39 Limited Liability Companies and Limited Liability Partnerships

Chapter 39 Limited Liability Companies and Limited Liability Partnerships

Chapter 39 Limited Liability Companies and Limited Liability Partnerships. Limited Liability Companies. An unincorporated business entity that combines the most favorable attributes of general partnerships, limited partnerships, and corporations. An LLC may elect to be taxed as a partnership.

By trinity
(348 views)

ERIC Legal Developments in Employee Benefits

ERIC Legal Developments in Employee Benefits

ERIC Legal Developments in Employee Benefits. March 21, 2018. This call is being recorded. To receive a copy of the call, please contact ERIC Member Services at memberservices@eric.org. Participation Procedure. Please place your line on mute

By brook
(277 views)

Types of Business Organizations

Types of Business Organizations

Types of Business Organizations . Sole proprietorships Partnerships General Limited Corporations Limited Liability Companies. General partnerships . Created informally by agreement Each partner personally liable Partners owe fiduciary duty to partnership

By murray
(266 views)

Professional Ethics for Compliance Professionals

Professional Ethics for Compliance Professionals

NRS Fall Compliance Conference November, 6, 2009 Las Vegas, NV A Continuing Education Offering for the Compliance Professional. Professional Ethics for Compliance Professionals. Kurt Wachholz President and CEO Wellspring Compliance Ann Oglanian President and CEO ReGroup, LLC. Agenda.

By nura
(154 views)

Insider Trading

Insider Trading

Insider Trading. “Today’s Insider Trading Suspect May Wear a Lab Coat” -New York Times, August 9, 2005. What is “Insider Trading?”. Buying or selling a security In breach of a fiduciary duty (or other relationship of trust or confidence)

By eydie
(244 views)

A Registered Investment Advisory Firm

A Registered Investment Advisory Firm

We Are Different. A Registered Investment Advisory Firm. We Are Different. Alhambra. Traditional. Alhambra Your Personal CFO. Fiduciary Duty : We have a legal obligation to do what is in your best interest. Conflicts of interest, if any, must be disclosed.

By nat
(123 views)

GOOD FAITH, HONESTY & PRUDENCE

GOOD FAITH, HONESTY & PRUDENCE

GOOD FAITH, HONESTY & PRUDENCE . Duties of Condominium Directors in Ontario. Michael H. Clifton, MA, LLB, ACCI (Law) – Partner, Clifton Kok LLP ACMO/CCI-TORONTO CONFERENCE 2008. GOOD FAITH. FIDUCIARY. Position of Trust. Position of Responsibility.

By frasier
(178 views)

Implementing a Medicare Compliance Program

Implementing a Medicare Compliance Program

Implementing a Medicare Compliance Program. Implementation of Medicare Compliance Program. Rules & procedures to reduce chance of wrongdoing High level manager to oversee the program

By hamish
(134 views)

Insurance to Protect ESOP Trustees OEOC 20 th Annual Conference Friday, April 21, 2006

Insurance to Protect ESOP Trustees OEOC 20 th Annual Conference Friday, April 21, 2006

Insurance to Protect ESOP Trustees OEOC 20 th Annual Conference Friday, April 21, 2006. Jeffrey S. Gelburd, CPCU, ARM Two North Second Street, 10th Floor Penn National Plaza Harrisburg, PA 17101. \\USHSBFP01\Groups\dep\Custom Programs\OEOC Presentation 4-21-06.ppt.

By issac
(155 views)

FIDUCIARY LIABILITY—PUBLIC SECTOR

FIDUCIARY LIABILITY—PUBLIC SECTOR

FIDUCIARY LIABILITY—PUBLIC SECTOR. Hard Choices, Real Protection October 10, 2009. Christine A. Dart Chubb & Son Vice President. Robert D. Klausner Klausner & Kaufman, P.A. Esquire. Brian L. Smith The Segal Company Senior Vice President. Daniel Aronowitz Ullico Casualty President.

By adamdaniel
(159 views)

Climate Risk Mitigation strategies and policies

Climate Risk Mitigation strategies and policies

Climate Risk Mitigation strategies and policies. Dan Bakal Ceres A Presentation for Climate Change Policy En Banc February 23, 2005. The Big Picture. The relationship between capital markets and corporations is changing

By Pat_Xavi
(172 views)

Attorney malpractice: damages and other remedies

Attorney malpractice: damages and other remedies

Ethics Rules MRPC 1.1) Competence reasonably necessary for the [particular] representation legal knowledge skill thoroughness preparation MRPC 1.3) Reasonable diligence and promptness (“neglect” in Code of PR) MRPC 1.4) Duty to keep client informed.

By inari
(146 views)

Corporate Governance & Your Fiduciary Duty

Corporate Governance & Your Fiduciary Duty

Corporate Governance & Your Fiduciary Duty. Bill Sokol Weinberg Roger & Rosenfeld wsokol@gmail.com. Do You Have A Fiduciary Duty to Engage in Issues of Corporate Governance?. YES. The Simple Logic. If A: Congress enacts ERISA If B: States each enact own ERISA standard

By taima
(91 views)

Agency Law

Agency Law

Agency Law. Chapter 4. Agency Law. What is an agent? Any individual who represents a second individual or entity in negotiations with a third individual or entity. What is agency law?

By isolde
(152 views)

OWCAM (Oregon Washington Community Association Managers)

OWCAM (Oregon Washington Community Association Managers)

OWCAM (Oregon Washington Community Association Managers). PRESENTS WHEN IS A GIFT A BRIBE?. HOW IMPORTANT IS ETHICS? . TRY NOT TO BECOME MEN OF SUCCESS, RATHER BECOME MEN OF VALUE. Albert Einstein OWCAM - When Is A Gift A Bribe?.

By dillian
(79 views)

Foundations of Occupational and Professional Regulation

Foundations of Occupational and Professional Regulation

2007 Annual Conference. Foundations of Occupational and Professional Regulation. Claudia Newman NCA Associates. Protection of the Public Interest. The primary mandate for both you and your members. To fulfill realize this mandate, as the governing body, .

By carrington
(121 views)

Use of Non-Public Information and Other Securities Law Issues

Use of Non-Public Information and Other Securities Law Issues

Use of Non-Public Information and Other Securities Law Issues. Trading Ahead of Research Reports. FCMs and IBs may not trade based on an as yet unpublished research report Firewalls should be used. Case Study. Trading Ahead of Research Reports. Block Trading. FCMs and IBs:

By laird
(101 views)

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