Understanding Erisa
Autor Ken Ziesenheimen Limba Engleză Paperback – 25 mar 2002
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.
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Specificații
ISBN-13: 9781931611428
ISBN-10: 1931611424
Pagini: 144
Dimensiuni: 140 x 216 x 8 mm
Greutate: 0.19 kg
Editura: Wiley
Locul publicării:Hoboken, United States
ISBN-10: 1931611424
Pagini: 144
Dimensiuni: 140 x 216 x 8 mm
Greutate: 0.19 kg
Editura: Wiley
Locul publicării:Hoboken, United States
Notă biografică
KEN ZIESENHEIM, CFP, JD, LL.M with more than 20 years of experience in the financial services industry, Ziesenheim regularly writes for professional journals and is a popular speaker.
Cuprins
Foreword i
Introduction 1
Chapter 1. Fiduciary Conduct 5
Chapter 2. Liabilities and Penalties 7
Chapter 3. Government Agencies 11
Chapter 4. Prudent Investor Rule 13
Chapter 5. Uniform Prudent Investor Act 17
Chapter 6. Prudent Investment Procedures 25
Chapter 7. Written Investment Policy 29
Chapter 8. Sample: Investment Policy Statement 35
Chapter 9. Investment Management Procedures 45
Chapter 10. Diversification of Plan Assets 47
Chapter 11. Asset Allocation 53
Chapter 12. Risk Management 57
Chapter 13. Prohibited Investment Transactions 59
Chapter 14. Monitoring and Evaluation 61
Chapter 15. The Investment Professional 63
Chapter 16. Investment Management Consultant 71
Chapter 17. 404(C) Plan 79
Chapter 18. 401(K) Plans 95
Chapter 19. Summary 99
Chapter 20. Appendix A - Supplement to A Management Agreement 101
Glossary of Investment Terminology 105
Bibliography 124
Introduction 1
Chapter 1. Fiduciary Conduct 5
Chapter 2. Liabilities and Penalties 7
Chapter 3. Government Agencies 11
Chapter 4. Prudent Investor Rule 13
Chapter 5. Uniform Prudent Investor Act 17
Chapter 6. Prudent Investment Procedures 25
Chapter 7. Written Investment Policy 29
Chapter 8. Sample: Investment Policy Statement 35
Chapter 9. Investment Management Procedures 45
Chapter 10. Diversification of Plan Assets 47
Chapter 11. Asset Allocation 53
Chapter 12. Risk Management 57
Chapter 13. Prohibited Investment Transactions 59
Chapter 14. Monitoring and Evaluation 61
Chapter 15. The Investment Professional 63
Chapter 16. Investment Management Consultant 71
Chapter 17. 404(C) Plan 79
Chapter 18. 401(K) Plans 95
Chapter 19. Summary 99
Chapter 20. Appendix A - Supplement to A Management Agreement 101
Glossary of Investment Terminology 105
Bibliography 124