In this timely and informative webinar hosted by FTI Consulting, legal and compliance experts will provide critical information about (i) the QPAM exemption that often is a commercial necessity for financial service organizations that manage ERISA money or want to manage even a small slice of the $17 trillion U.S. retirement market; and (ii) the new audit rules that apply to a financial firm that is managing retirement fund assets for its own employee benefit plans.
Now is not the time to take a chance of being non-compliant. Assuring that proper compliance is being done and avoiding reputational and monetary risks, as well as mitigating ERISA litigation and enforcement risk, is more critical than ever in today’s financial environment.
The webinar will address issues including:
- Background information about the new ERISA rule for a Qualified Professional Asset Manager (“QPAM”) audit
- What it means to be a Qualified Professional Asset Manager or In-House Asset Manager
- Who must comply and in what timeframe
- Who can carry out a QPAM /INHAM audit
- What a QPAM audit entails in terms of information-gathering and scheduling
- Case study discussion
- How the results of a QPAM audit can be used to improve operations and client relationships
Who Should Attend:
- Chief Compliance Officers of asset managers
- Business development executives for asset managers
- Internal legal counsel for asset managers and other financial firms
- ERISA consultants and investment advisors
Please join Timothy Brennan, Assistant General Counsel at The Hartford; Howard Pianko, Partner, Seyfarth Shaw LLP; and Susan Mangiero, Managing Director, FTI Forensic & Litigation Consulting as they address these issues and your questions. To attend this free webcast scheduled for Tuesday, October 23, at 1:00 pm Eastern, please sign up below: