How ERISA applies to securities professionals, such as RIAs and registered broker-dealers, who advise, manage, or trade for investment portfolios of employee benefit plans, by Richard K. Matta of Groom Law Group.

A summary of the rules defining ERISA fiduciary responsibility, including an overview of liabilities arising from fiduciary breaches. The authors are David F. Jones and Kathleen Ziga of law firm Dechert LLP, and Sumi C. Chong, Assistant Counsel, Corporate Human Resources, of Bristol-Myers Squibb.

Fiduciary issues and practical concerns relating to the plan sponsor’s responsibility to ensure that fees paid are reasonable relative to services received.

Practical advice (including a recommended approach) to select provider(s) that are appropriate for your company’s retirement plan.

Why Investment Policy is important, including a list of components that belong in every sponsor`s policy statement.

How to use a properly drafted policy statement to simplify a qualified retirement plan`s fund selection process.

Fiduciary concerns and other pitfalls that arise when an unrestricted brokerage account is offered through a qualified retirement plan.

Considerations for the plan sponsor contemplating self-trusteeship of a qualified retirement plan, including an overview of relevant fiduciary concerns.