Understanding ERISA: A Compact Guide to the Landmark Act
A Compact Guide to the Landmark Act
Paperback Engels 2002 9781931611428Samenvatting
Every advisor in your firm should have a copy" of this compact new guide, claims Harold Evensky, respected financial professional and author of Wealth Management. Evensky knows all too well that firms and individual advisors need to protect themselves now more than ever.
In the climate of corporate scandals and market downturns – being in compliance is critical to avoiding liability challenges. But – the scope and complexity of the landmark ERISA act has left trustees and fiduciaries struggling to ensure that they remain in compliance.
Now, industry pro Ken Ziesenheim′s concise booklet covers the four key provisions of ERISA in simple, straightforward terms. He includes sample forms, policy statements, a glossary of terms and everything needed to make understanding and complying with ERISA as easy as a,b,c.
And, he covers four all–important steps for:
selecting and hiring a manager
monitoring activities of outside managers
documenting meetings to prevent complications
And interpreting the "Prudent Investor Rule"Help make sure you and every professional in your firm – stays in compliance, by following the basic guidelines presented in this new work.
Specificaties
Lezersrecensies
Inhoudsopgave
<p>Introduction 1</p>
<p>Chapter 1. Fiduciary Conduct 5</p>
<p>Chapter 2. Liabilities and Penalties 7</p>
<p>Chapter 3. Government Agencies 11</p>
<p>Chapter 4. Prudent Investor Rule 13</p>
<p>Chapter 5. Uniform Prudent Investor Act 17</p>
<p>Chapter 6. Prudent Investment Procedures 25</p>
<p>Chapter 7. Written Investment Policy 29</p>
<p>Chapter 8. Sample: Investment Policy Statement 35</p>
<p>Chapter 9. Investment Management Procedures 45</p>
<p>Chapter 10. Diversification of Plan Assets 47</p>
<p>Chapter 11. Asset Allocation 53</p>
<p>Chapter 12. Risk Management 57</p>
<p>Chapter 13. Prohibited Investment Transactions 59</p>
<p>Chapter 14. Monitoring and Evaluation 61</p>
<p>Chapter 15. The Investment Professional 63</p>
<p>Chapter 16. Investment Management Consultant 71</p>
<p>Chapter 17. 404(C) Plan 79</p>
<p>Chapter 18. 401(K) Plans 95</p>
<p>Chapter 19. Summary 99</p>
<p>Chapter 20. Appendix A Supplement to A Management Agreement 101</p>
<p>Glossary of Investment Terminology 105</p>
<p>Bibliography 124</p>
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