Topics

Topics covered in the Guide include:

Introduction to Retirement Plan Law
ERISA’s General Provisions, Definitions, and Coverage
Reporting and Disclosure, Participation and Vesting
The Fiduciary Responsibility Provisions
The Fiduciary Duties
Co-Fiduciary Liability
The Prohibited Transaction Rules
Administration and Enforcement
The Fiduciary Definition
ERISA ยง404(c)
Selection and Oversight of Service Providers
Oversight of Plan Expenses
ERISA Investment Management
Qualified Default Investment Alternatives
Considerations When Selecting Asset Types
Analysis of GICs and Fixed Accounts
Distributions
Selective Administration Topics
Correction Programs
The 401(k) Broker’s Dilemma
The ASPPA Code of Professional Conduct and Ethics
How to Maximize Your Impact as a 401(k) Advisor

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