Fiduciary Service Program 3(38) Plan Design Plus Ongoing Fiduciary Governance Fiduciary Training Customized Plan Design and Annual Plan Review by TPA’s.

Slides:

Advertisements

Similar presentations

Corporate Compliance and The U.S. Department of Labor How to Bulletproof Your Company From DOL and Participant Initiated ERISA Liability Jay Van Heyde,

Advertisements

ERISA Essentials and What to Advise Clients to Avoid Audits and be ACA Compliant.

Start With Trust 1 eBrochure.

Know Your Compliance Obligations Minimize Your Risks Why Do Employers Need Compliancedashboard ? Are You Prepared For ERISA Compliance and Health Care.

Fiduciary Checklist 1.Do you have a documented investment policy statement? YesNo 2.Have you reviewed your plan’s investment choices in the last twelve.

1 401(k) Fees What You Need to Know Celia Rafalko Piedmont Independent Fiduciaries, Inc

Marcia S. Wagner, Esq. The Different Roles and Responsibilities of 3(16), 3(21) and 3(38) Fiduciaries.

University of Northern BC UNBC Pension Plan Annual General Meeting April 4, 2011.

Customized Service Models for 3(16) Fiduciaries

Managing Your Fiduciary Responsibilities Kevin Handford, CFP®, ChFC®, CFS®, AIF® 7 Hotel Street, Warrenton, VA Securities and Advisory.

Marcia Wagner Managing Director The Wagner Law Group Paul J. Tolley Chief Compliance Officer Commonwealth Financial Network® Leo Karwejna Managing Director,

Vendor Risk: Effective Management is Essential

Welcome to the Board! (and did we mention your Fiduciary Responsibility?)

Marcia S. Wagner, Esq. Custom Solutions: Legal, Compliance and Disclosure.

Brought to you by the Nationwide ® Advanced Consulting Group Best Practices When Working With Your 401(k) Clients.

"For distribution to Plan Sponsors only". Overview "For distribution to Plan Sponsors only" Vantage457(b) features include:  Investment Offering: Over.

Overview of Services. Who We Are and Plans We Serve 1950 – Our CPA firm was founded 1999 – Expanded into Wealth Management and Retirement Plans Coordinated.

Participant Fee Disclosures in Employer-Sponsored Retirement Plans March 2012.

Strictly private & confidential DESIGNING, BUILDING AND SUPPORTING YOUR RETIREMENT PROGRAM Respectfully Submitted by LWBJ Financial & LWBJ Global Consulting.

“Creating Ongoing Successful Retirement Plan Experiences For Employers And Employees” ©401(k) Advisors Securities offered through Financial Telesis,

Advanced Diploma of Financial Planning Copyright TAFE 2014 Advanced Diploma of Financial Planning.

ADB Project TA 3696-PAK, Regulation for Corporate Governance 1 REGULATION FOR CORPORATE GOVERNANCE IN PAKISTAN CAPITAL MARKETS.

401k Essentials for (k) fundamentals Contributions Limits  Under 50 years of age  $17,500  Over 50 years of age  $17,500  Plus Catch up.

"For distribution to Plan Sponsors only". How many third party administrators are involved with your benefits offering at this time? Do you have access.

MAKING A GOOD 401(k) PLAN EVEN BETTER. TOPICS COVERED  Increasing Participation  Understanding Your Plan  Roth 401(k)  Safe Harbor  Investment Policy.

Fiduciary Responsibility Frye Financial Center Creating, Protecting and Preserving Wealth

Fee Disclosure Requirements Not FDIC insured. May lose value. No bank guarantee. FOR PLAN SPONSORS How they affect you and your participants.

Participant Fee Disclosures in Employer-Sponsored Retirement Plans March 2012.

Marcia S. Wagner, Esq. The Do’s, Don’ts and Best Practices for 3(16), 3(21) and 3(38) Fiduciaries.

Joint Forum of Financial Market Regulators Guidelines for Capital Accumulation Plans November 2004 The Impact DC Plan Sponsors G3-PD Colin Ripsman Toronto.

Faculty & Administration Pension Plan and Support Staff Pension Plan Annual General Meeting June 2006.

Small Business 401(k) Solutions Small Business 401(k) Solutions Designed for a business like yours We can handle all your retirement plan needs cost effectively,

F IDUCIARY R ESPONSIBILITIES R. S COTT G ARDNER, CIMA S ENIOR I NVESTMENT A DVISOR P ACIFIC P ORTFOLIO C ONSULTING, LLC.

Joint Forum of Financial Market Regulators Forum conjoint des autorités de réglementation du marché financier Guidelines for Capital Accumulation Plans.

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

Oversight of the ERISA Fiduciary April 9, 2008 J. David Thompson Bank of New York Mellon Corporation.

1 "For distribution to Plan Sponsors only". 2 Overview Vantage401(k) features include:  Investment Offering: Over 18,000 funds from 450 fund families,

QUALITY MANAGEMENT STATEMENT

404c Basics. 404(c) Defined Permits retirement plans to transfer the responsibility and the liability – for selecting among the investment options in.

Fiduciary Responsibility. What is a Fiduciary? Has control of retirement funds and/or investment options in a 401(k) Plan; Gives investment advice; or.

CULTIVATING A CULTURE OF FIDUCIARY RESPONSIBILTY Presented by: Jeff Hale, AIFA® Senior Consultant Pentegra Retirement Services June, 2011.

Welcome Aboard! TBMA - We’re leading the way in education – resources - solutions.

PRESENTATION SUMMARY Fee Disclosure Requirements Examining Disclosure Documents Evaluating “Reasonableness” of Fees Assessing Value Maximizing your Company’s.

Definition of a “fiduciary” “A fiduciary is someone who has undertaken to act for and on behalf of another in a particular matter in circumstances which.

Kingsley Karunaratne, Department of Accounting, University of Sri Jayewardenepura Colombo – Sri Lanka, Practice Management Quality.

COMPLIANCE MANAGEMENT – VARIOUS PROVISIONS OF LABOUR LAW and STATUTORY REGULATIONS BY OPTIMUM COMPLIANCE CONSULTANTS PVT LTD.

Re-writing the rules on retirement plan investing.

Woodgrove Bank Corp.. About Woodgrove Bank Established in 1950 Established in ,800 employees 2,800 employees 14 branches 14 branches Locally owned.

Fiduciary Responsibilities of the District. Fiduciary Duties of District Board Members One of the main responsibilities of board members is to maintain.

The Law Offices of Sheila Deselich Cohen. Generally subject to the Employee Retirement Income Security Act of 1974 (“ERISA”). Two main types of plans:

1 Lockton Retirement Services Fiduciary Coverage  Retention/succession  Benefit completion  Cash flow optimization (NQDC) Executive Benefits  Portfolio.

Getting to Know Internal Auditing

Michael P. Kreps Thomas Roberts

Getting to Know Internal Auditing

Getting to know MEI.

Getting to Know Internal Auditing

Retirement Plans What are Your Options

Independent Guide, Trusted Partner

Rice’s Retirement Plans

403(b) Plan Checklist of Best Practices for Plan Sponsors

Fiduciary Responsibilities Regarding Your Retirement Plan

When you’re a fiduciary, there are a lot of responsibilities and a lot of things to do in a year. Way more than you can possibly keep track of unless being.

Board of Directors Roles and Responsibilities

Re-writing the rules on retirement plan investing

Getting to Know Internal Auditing

Best Practices in Plan Governance

Rice’s Retirement Plans

Integrating ERISA Into Your Compliance Systems

Overview Presented by Leah Messenger, CPP

Laura Ann Bartlett, CEBS, AIFA Vice President, Institutional Wealth

Presentation transcript:

Fiduciary Service Program 3(38) Plan Design Plus Ongoing Fiduciary Governance Fiduciary Training Customized Plan Design and Annual Plan Review by TPA’s and CPA’s to help establish and maintain a proper retirement plan. Establishing and following a sound fiduciary governance process is vital to good decision making and proper fiduciary discharge. We help you develop and implement the optimal organization and governance design for your plan. We’ll produce quarterly fiduciary mandate monitoring reports along with a complete fiduciary audit file binder equipped with all the applicable items required of a fiduciary as part of our fiduciary responsibility that ultimately assists in alleviating the fiduciary burden off of the plan sponsor. We offer fiduciary education for plan sponsors and their fiduciaries. We’ll explain general fiduciary principals and provide practical suggestions on how fiduciary liability can be mitigated through procedural prudence. We’ll also provide you with essential sample tools that will help you fulfill your ERISA fiduciary duties.

Fiduciary Service Program 3(38) Fiduciary Based Plan Design Ongoing Fiduciary Governance Fiduciary Training Investment Policy Statement 404c Compliance Full and Complete Fee Disclosure Fiduciary Investment Monitoring Fiduciary Audit File Fully Diversified Model Portfolios Independent Fiduciary on behalf of Plan Sponsor Fiduciary Liability Insurance Investment Philosophy Specific Lineups

Fiduciary Service Program 3(21) Plan Design Plus Ongoing Fiduciary Governance Fiduciary Training Customized Plan Design and Annual Plan Review by TPA’s and CPA’s to help establish and maintain a proper retirement plan. Establishing and following a sound fiduciary governance process is vital to good decision making and proper fiduciary discharge. We help you develop and implement the optimal organization and governance design for your plan. We offer fiduciary education for plan sponsors and their fiduciaries. We’ll explain general fiduciary principals and provide practical suggestions on how fiduciary liability can be mitigated through procedural prudence. We’ll also provide you with essential sample tools that will help you fulfill your ERISA fiduciary duties.

Fiduciary Service Program 3(21) Fiduciary Based Plan Design Ongoing Fiduciary Governance Fiduciary Training Investment Policy Statement 404c Compliance Full and Complete Fee Disclosure Fiduciary Investment Monitoring Fiduciary Audit File Independent Fiduciary on behalf of Plan Sponsor Fiduciary Liability Insurance