Why You Should Attend
The first and only comprehensive CLE program on collective trust funds!
Are you prepared to face new legal challenges as you enjoy an increase in business opportunities?
Collective Trust Funds (CTFs) are rapidly becoming the investment vehicle of choice for many 401(k) plan sponsors. Now that these funds offer daily valuation and investment direction combined with the potential for lower costs, many 401(k) plan sponsors have either moved toward CTFs being offered as an alternative to, or alongside, registered mutual funds.
Attend this in-depth program because success in the handling of CTFs requires a comprehensive understanding of the recent regulatory and market developments.
What You Will Learn
Our expert faculty of leading banking, SEC, and ERISA lawyers and other investment professionals will cover various pertinent topics, such as:
CTFs, competing products, and new product design in the current marketplace
Internal and external distribution platforms
Working effectively with third-party advisers
Hot button regulatory issues: Class Structures, Inside/Outside Fees, Fee Layering, Valuation and Investing in Proprietary Products
This advanced, one-day accredited conference on Collective Trust Funds will enable you to network with fellow industry professionals as you learn about the important developments in this area of law.
Who Should Attend
Legal and compliance professionals involved in the creation and sale of CTFs, including bank counsel, securities lawyers, and ERISA counsel, as well as any business personnel seeking a better comprehension of the legal and compliance framework in which collective trust funds operate, should attend this accredited continuing legal education program from ALI CLE.
Clifford E. Kirsch, Sutherland Asbill & Brennan LLP, New York (also on faculty)
Theresa M. Brunsman, Counsel, Invesco Advisers, Inc., Louisville, Kentucky
Charles E. Cullinane, Vice President, Managing Counsel, State Street Global Advisors, Boston
Steve Deutsch, CFA, CAIA, CTP, Chicago
Sharon H. Ennis, Senior Vice President, Reliance Trust Company, Atlanta
James O. Fleckner, Goodwin Procter LLP, Boston
Bruce Gallant, Managing Director and Associate General Counsel, JPMorgan Chase & Co., New York
Charles M. Horn, Morrison & Foerster LLP, Washington, D.C.
Timothy E. Keehan, Vice President and Senior Counsel, Center for Securities, Trusts and Investments, American Bankers Association, Washington, D.C.
Joel Lieb, Managing Director, Investment Manager Services, SEI Investments Distribution Co., Oaks, Pennsylvania
Kevin Lyman, General Counsel, Institutional Division, Invesco National Trust Company, Atlanta
Richard K. Matta, Groom Law Group, Chartered, Washington, D.C.
Gina Mitchell, President, Stable Value Investment Association, Washington, D.C.
John Munch, General Counsel, SEI Investments Distribution Co., Oaks, Pennsylvania
Donald W. Smith, K&L Gates LLP, Washington, D.C.
Joyce M. Smith, Chief Legal Officer, Prudential Trust Company, Newark, New Jersey
W. Mark Smith, Sutherland, Asbill & Brennan LLP, Washington, D.C.
ALI CLE Program Attorney: Thomas M. Hennessey (firstname.lastname@example.org)
THURSDAY, MAY 9, 2013
8:00 a.m. Registration and Continental Breakfast
8:55 a.m. Welcome and Announcements - ALI CLE Staff
Video Webcast Segment A
9:00 a.m. Regulatory and Litigation Round-Up - Messrs. Fleckner and M. Smith
10:00 a.m. The Marketplace for Collective Trust Funds: CTFs and Their Competing Products - Messrs. Deutsch and Lieb and Ms. Ennis (invited)
11:00 a.m. Networking and Refreshment Break
11:15 a.m. Hot Button Regulatory Issues - Messrs. Horn, Keehan, and Matta
• Class Structures
• Inside/Outside Fees
• Fee Layering
• Investing in Proprietary Products
12:15 p.m. Lunch Break (Lunch is provided.)
Video Webcast Segment B
1:30 p.m. Marketing and Distribution Activities - Messrs. Cullinane, Lyman, and D. Smith and Ms. Smith
• The Regulatory Framework
• Internal and External Distribution Platforms
• Performance Advertising
2:30 p.m. Stable Value Funds - Mss. Brunsman and Mitchell and Mr. Gallant
3:30 p.m. Networking and Refreshment Break
3:45 p.m. Third-Party Advisers in the Collective Trust Fund Space - Messrs. Kirsch and Munch
• Structuring the Relationship
• Delegation and Oversight of Investment Management
• Advertising Performance
• Marketing Materials
5:00 p.m. Adjournment
Total 60-minute hours of instruction: 6.25 hours
Suggested Prerequisite: Limited experience in legal practice in subject matter or completion of Basic CLE Course in subject matter
Educational Objective: Acquisition of knowledge and skills to develop proficiency as a practitioner; maintenance of professional competence as a practitioner; provision of information on recent legal developments
Level of Instruction: Advanced
Here's what registrants have said about this course:
Great job on this year 's CIT ALI CLE event. Everyone did a fantastic job! - 2013 course registrant
Great Program - 2013 course registrant
This was a fantastic course. The faculty was extremely knowledgeable on the subject matter and facilitated a very interesting and detailed discussion among the participants. Congratulations on a job well done.
This was an excellent course that helped to get me up-to-speed on collective trusts. I thought it presented a nice blend of legal and business issues, and was valuable to both new and experienced practitioners.
Great new course.
This was a fabulous course! Lots of great info shared.
Fantastic seminar! Extremely informative panel members. Outstanding materials.
All times are Eastern