|5371||The DOL's New Fiduciary Regulation: Considerations for Mutual Fund Directors||30||Sep||2:00PM||3:00PM||September||Tuesday||20||2016||
The fiduciary regulation will cause sweeping changes to the U.S. retirement landscape. Many intermediaries and advisers that deal with retirement plan clients, such as IRAs and 401(k) plans, will have newfound responsibilities as ERISA fiduciaries beginning April of 2017. This webinar will explore the implications of the regulation for mutual funds.
This webinar will be broadcast live on Tuesday, September 20 at 2 pm (ET).
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|Forum Webinar Series||
Robert Sichel is a partner in the firm’s New York office, where he is a member of the Investment Management practice group and oversees the ERISA Fiduciary practice. He has extensive experience helping financial institutions and corporate retirement plans navigate the complexities of ERISA, as well as issues under the Dodd-Frank Act that pertain to “special entities.”
Mr. Sichel’s practice focuses on advising investment managers and other financial institutions on the fiduciary responsibility and prohibited transaction rules of ERISA; assisting investment managers with drafting and implementing ERISA-related policies and procedures; providing training and compliance advice with respect to Department of Labor prohibited transaction exemptions; and drafting and negotiating investment management agreements, fund documents, side letters and trading-related agreements (e.g., ISDAs, clearing agreements, futures agreements, securities lending agreements and prime brokerage agreements) on behalf of financial institutions, investment managers and institutional investors.
Mr. Sichel also counsels corporate defined benefit plans and defined contribution plans on investment matters, governance, de-risking and the handling of service providers.
Donald W. Smith
Mr. Smith concentrates his practice on investment management and mutual fund law. He serves as counsel to registered investment companies and their boards of directors, with a particular focus on bank-affiliated investment companies. In addition to providing regulatory and compliance counseling on routine and complex operational issues, he advises registered investment company and investment adviser clients on the impact of the rapidly changing regulatory landscape. His experience also extends to trust and investment management activities of banks and their affiliates, as well as questions arising from the other securities activities of banking institutions.
Kristina M. Zanotti
Ms. Zanotti is a partner in the investment management practice group, concentrating in the ERISA Fiduciary and Derivatives practice areas.
In the ERISA Fiduciary practice area, Ms. Zanotti has substantial experience advising clients regarding fiduciary responsibility matters under ERISA. Ms. Zanotti assists investment advisers, banks and trust companies, fund complexes, and other financial institutions, in navigating ERISA’s prohibited transaction restrictions and exemptions. Ms. Zanotti co-authors chapters on ERISA in two corporate and securities law treatises for the Practicing Law Institute and also teaches a class on ERISA for the D.C. Bar.
In the Derivatives area, Ms. Zanotti represents financial services clients in connection with swap and other derivatives transactions and in negotiating master agreements, including ISDAs, Master Repurchase Agreements, Master Securities Forward Transaction Agreements, futures agreements, cleared derivatives documentation, and related agreements.
WHO SHOULD ATTEND
PRESS / MEDIA