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Retirement Plan Investments and Vendor Management

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Course

Meet all the key players involved in designing, administering and growing a retirement plan. Review the unique responsibilities of plan sponsors, trustees, fiduciaries, retirement plan committees, investment consultants and managers, actuaries, recordkeepers and third-party administrators (TPAs), and learn how to manage relationships with each of these groups.

Topics Covered

  • Retirement Plan Decision Making
  • Fiduciary Responsibility for Plan Investments
  • Plan Investment Options
  • Types of Vendors
  • Managing Vendor Relationships.

Course Outline

View course outline

Introduction

  1. Retirement Plan Options for Plan Sponsors

Estimated Time to Complete: 5 minutes

Retirement Plan Decision Making

  1. Plan Sponsor Responsibilities
  2. ERISA-Required Roles
  3. Retirement Plan Committee
  4. Board of Trustees
  5. Fiduciaries
  6. Fiduciary Responsibility
  7. Fidelity Bonds

Estimated Time to Complete: 30 minutes

Fiduciary Responsibility for Plan Investments

  1. Fiduciary Responsibility for Plan Investments
  2. Fiduciary Safe Harbor for Participant-Directed Investments
  3. Investment Education and Advice
  4. Investment Policy
  5. Investment Risk
  6. Types of Investment Risks

Estimated Time to Complete: 30 minutes

Plan Investment Options

  1. Plan Investment Options
  2. Cash Equivalents
  3. Money Market Instruments
  4. Fixed Income Investments
  5. Long-Term Government Bonds
  6. Corporate Bonds
  7. Equities
  8. Privately and Publicly Traded Companies
  9. Common Stocks
  10. Preferred Stocks
  11. Stock Markets
  12. Market Indexes
  13. Mutual Funds
  14. Alternative Investments
  15. Asset Allocation
  16. Asset Allocation Models
  17. Rebalancing
  18. Passive and Active Investment Management
  19. Index Funds, Lifestyle Funds and Target-Date Funds
  20. Employer Securities
  21. Reviewing Investments

Estimated Time to Complete: 60 minutes

Types of Vendors

  1. Fiduciary Responsibility Regarding Vendors
  2. Vendor Fees
  3. Subsidizing Vendor Fees
  4. Types of Service Provider Arrangements
  5. Actuaries
  6. Investment Consultants and Managers
  7. Investment Management Fees
  8. Monitoring Investment Fees
  9. Directed Trustees and Custodians
  10. Recordkeepers
  11. Recordkeeping Fees
  12. Third-Party Administrators (TPAs)
  13. Fee Disclosures
  14. Legal Counsel

Estimated Time to Complete: 60 minutes

Managing Vendor Relationships

  1. Selecting the Vendor
  2. RFP Process
  3. Key Considerations When Implementing a New Vendor Relationship
  4. Monitoring the Vendor
  5. Changing a Vendor
  6. Specific Considerations for Changing Recordkeepers or Investment Consultants
  7. Investment Mapping

Estimated Time to Complete: 30 minutes

NOTE: The estimated time to complete each lesson is based on word count and assumes uninterrupted consumption of the course. Actual time to complete each lesson can vary widely based on familiarity with the topics and other factors. Time required to complete the course final exam is not counted in these estimates.

Course Applies To

Four-Credit Course

US$260.00

Member

US$380.00

Nonmember

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Questions?

Contact us at (888) 334-3327, option 3 or [email protected].

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Self-Paced
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