Collective Investment Trusts and 401(k) Plan Investments: Guidance for Fiduciaries and Employee Benefits Counsel
A live 90-minute premium CLE video webinar with interactive Q&A
This CLE webinar will provide guidance to fiduciaries and employer benefits counsel on key issues and legal considerations for the use of collective investment trusts (CITs) in 401(k) plans and other qualified retirement plan investments. The panel will discuss applicable federal regulations and requirements, reviewing CIT terms, investment manager appointments, vetting fiduciary risks, monitoring procedures, reporting requirements, and other key issues to consider.
Outline
- Overview of CITs
- DOL and SEC regulatory framework for CIT funds
- ERISA fiduciary rules and liability
- Compliance and risk mitigation strategies
- Best practices for ERISA counsel and fiduciaries
Benefits
The panel will review these and other key questions:
- How do CITs compare with registered mutual funds?
- What are the regulatory considerations in establishing and operating CITs?
- What are the fiduciary and compliance risks?
- What risk mitigation strategies are available to plan sponsors and fiduciaries?
- What are recent trends in ERISA litigation relating to CITs?
Faculty
Maureen J. Gorman
Partner
Mayer Brown
Ms. Gorman is a partner in the Palo Alto office of Mayer Brown who focuses on executive compensation and employee... | Read More
Ms. Gorman is a partner in the Palo Alto office of Mayer Brown who focuses on executive compensation and employee benefits matters. Her work includes advising on tax and benefit issues in both domestic and international contexts, counseling on ERISA fiduciary issues, controversy work involving IRS and DOL audits, and all nature of transactional work, including de-risking transactions and M&A. Ms. Gorman's work frequently requires interdisciplinary efforts with corporate, securities and tax specialists.
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Dan O'Neil
Attorney
McDermott Will & Emery
Mr. O’Neil advises clients on a wide range of benefits and compensation matters. He focuses his practice on... | Read More
Mr. O’Neil advises clients on a wide range of benefits and compensation matters. He focuses his practice on employee benefits and executive compensation issues arising in corporate transactions. Mr. O'Neil has experience with employee benefit and executive compensation due diligence, negotiation of the related provisions in transaction agreements and assists clients with issues relating to Sections 280G and 409A of the Code. He is also experienced in a wide range of tax and benefits issues, including day-to-day retirement plan compliance, ERISA fiduciary matters, prohibited transactions and employee stock ownership plans (ESOPs). Mr. O'Neil 's writing has been featured in Benefits Quarterly.
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Robert L. Sichel
Partner
K&L Gates
Mr. Sichel is a partner in the firm’s New York office, where he is a member of the Investment Management practice... | Read More
Mr. 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 firm’s ERISA Fiduciary practice. He helps financial institutions navigate the complexities of ERISA when manufacturing products for, and providing services to, retirement plans and ERISA “plan asset” funds.
CloseEarly Discount (through 06/20/25)