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Plan Investments: Learning to Speak a Foreign Language [2019]
Presentor: David Schultz Recorded Date: 11/20/2019 Duration: 60 Min.

Description
This program was recorded during a live presentation given on November 20, 2019.
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You work with retirement plans all day, but that doesn’t make you an expert on investment vehicles and the unusual investments used by some clients can complicate administration. We will start at the beginning and build on basic concepts and plan structures to understand the options used to (hopefully) grow contributions into even more money. We will also cover potential pitfalls with different types of investment structures that can impact compliance and audit requirements.

Topics include:
  • Investment categories
  • Mutual fund share classes
  • Insurance product terms
  • Qualifying plan assets
  • Requirements applicable to specific investment types
  • Stable value vs. Money market funds
  • Employer stock issues
  • Direct vs. indirect revenue sharing
  • Direct filing entities
  • ROBS
  • Prohibited transactions
Prerequisites:

There are no prerequisites or other advanced preparation for this program. Attendees should have a general familiarity with the operation of retirement plans, and a minimum of two years of experience.

Level: Intermediate
Instructional Delivery Method
Group – Internet-Based

NASBA Field of Study: Taxes

Speaker: David Schultz, J.D.

Objectives: After attending this Web seminar, attendees should be able to:

  • Explain the general characteristics of different broad assets classes
  • Determine whether a plan assets render it exempt from annual audit requirements
  • Properly report investments on Form 5500 Schedules H or I
  • Explain the potential concerns associated with employer stock
  • Identify investment options that could give rise to a prohibited transaction

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