Be Careful What You Wish For - Investments by Benefit Plans Can Create Obstacles


Fund managers often receive or even seek investments by pension plans and individual retirement accounts.  Those investments can implicate fiduciary responsibilities for fund managers and restrictions prescribed under prohibited transaction rules.  This presentation will review the operation of the plan asset rules, the implications of becoming a fiduciary to a benefit plan investor, and the scope of the prohibited transactions rules.  We will also explore some common structures and prohibited transaction exemptions utilized by funds accepting benefit plan investors. The presentation will also review new DOL guidance expanding opportunities for private equity investments in 401(k) plans.

Speaker: Lori Oliphant


Media Contact

Stephen Hastings
Director of Communications & Media Relations  

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