ERISA Fiduciary Compliance Guide

By Wagner Marcia

The ALL NEW ERISA Fiduciary Compliance Guide enables you to stay completely compliant with the new Department of Labor Regulations under §408(b)(2), significantly affecting ERISA fiduciary disclosure requirements. This breakthrough resource enables you to: • Accurately identify ERISA fiduciaries • Fulfill your fiduciary responsibilities • Make all proper disclosures • Avoid huge new applicable fines The ERISA Fiduciary Compliance Guide delivers clear, detailed coverage of: • The expanded and evolving definition of an ERISA fiduciary • Critical changes affecting fiduciary responsibilities, liabilities, and prohibitions • Required disclosures — including those at the service provider and participant level — exactly how they must be made and to whom • The responsibilities of service providers acting as fiduciaries The ERISA Fiduciary Compliance Guide Summary Table of Contents • Who and What are Fiduciaries • DOL Regulatory Efforts in 2010 – Significant Changes in Management of Retirement Plans • Service Provider Disclosures • Service Providers as Fiduciaries • Participant Level Disclosures • Managing Your Fiduciary Duties • Prohibited Transactions • Consequences of Failing to Meet Your Fiduciary Duty • Fiduciary Responsibility and the Management of Plan Assets • Investment Advice vs. Investment Education Authored by ERISA and employment law experts at The Wagner Law Group, The ERISA Fiduciary Compliance Guide is the practical reference you can rely on.

• Language: English
• Publisher: The National Underwriter Company
• Release date: Feb 14, 2012
• ISBN: 9781938130007

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ISBN 978-1-938130-00-7

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Summit Business Media is the leading B2B media and information company serving the insurance, financial, legal and investment advisory markets.  Summit strives to be The Next Generation of Business Information for executives and practitioners by providing breaking news and analysis, in-depth practice management strategies, business-building techniques and actionable data.  Summit services the information needs of its customers through numerous channels, including digital, print, and live events. Summit publishes 16 magazines and 150 reference titles, operates 20 websites and hosts a dozen conferences, including the world’s largest mining investment conference held each year in South Africa.  Summit’s Marketing Data division provides detailed information on millions of benefits plans, agents and advisors in the U.S.

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About the Authors

Marcia S. Wagner, J.D. is a specialist in pension and employee benefits law, and is the principal of The Wagner Law Group, which she founded over 15 years ago. A summa cum laude and Phi Beta Kappa graduate of Cornell University and a graduate of Harvard Law School, she has practiced law for over twenty-five years. Ms. Wagner is recognized as an expert in a variety of employee benefits issues and executive compensation matters, including qualified and non-qualified retirement plans, all forms of deferred compensation, and welfare benefit arrangements. Ms. Wagner was appointed to the IRS Tax Exempt & Government Entities Advisory Committee, ended her three-year term as the Chair of its Employee Plans subcommittee, and received the IRS’ Commissioner’s Award. Ms. Wagner has also been inducted as a Fellow of the American College of Employee Benefits Counsel. For the past four years, 401k Wire has listed Ms. Wagner as one of its 100 Most Influential Persons in the 401(k) industry, and she has received the Top Women of Law Award in Massachusetts and is listed among the Top 25 Attorneys in New England by Boston Business Journal. Ms. Wagner has written hundreds of articles and 11 books about retirement and benefit plans. Ms. Wagner is widely quoted in such publications as The Wall Street Journal, Financial Times, Pension & Investments, and more, as well as being a frequent guest on FOX Business, CNN, Bloomberg, NBC and other televised media outlets. She resides in Massachusetts with her husband, Craig, and their four wonderful children.

Stephen J. Migausky, J.D. has been practicing in the area of ERISA and employee benefit law for over 30 years, has authored numerous articles and is expert in all matters concerning, tax qualified plans, nonqualified plans, and fiduciary matters. Mr. Migausky is a graduate of Boston College and Boston College Law School.

Daniel L. Blynn is a third year student at the Georgetown University Law Center and a cum laude graduate of Brandeis University. He currently serves as the Senior Executive Articles Editor for the Georgetown Journal of Legal Ethics. In ERISA, Mr. Blynn has helped edit the Tax Management Portfolio: ERISA—Litigation, Procedure, Preemption and Other Title I Issues. Prior to working with Ms. Wagner, Mr. Blynn was a research assistant for Professor Michael Cedrone and is also the author of Cy Pres Distributions: Ethics and Reform. While at Brandeis, Mr. Blynn was a successful debater, making it to Quarterfinals of the American Parliamentary Debate Association’s National Championship.

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As the owner and principle editor for Bookworm Editorial Services, Rebecca was responsible for ensuring client satisfaction by collaborating with publishing company project teams and authors in the creation of publication strategies. Her work was focused on adding value through enhanced clarity, accuracy, and marketability of print and digital product.

She began her career with Thomson Learning, where she developed and revised federal and state taxation publications. At Thomson she also developed product in the disciplines of accounting, business communication, communication, introduction to business, management, marketing, and the sciences. She is a graduate of the University of Southern Mississippi.   

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Ms. Reitz has been with The National Underwriter Company since 1998, when she was named editor of the Risk Financing and Self-Insurance manuals and associate editor of the FC&S Bulletins®. She also is coauthor of the National Underwriter publication, Workers Compensation Coverage Guide, and has edited and contributed to numerous other books and publications, including The Tools & Techniques of Risk Management and Insurance, Claims magazine, and National Underwriter Property & Casualty newsweekly.

Prior to joining The National Underwriter she was with a regional insurance broker, concentrating on commercial insurance. She is a graduate of the University of Maryland and St. Francis College.

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Kelly began work at Summit in 2006 as an editor for Fire, Casualty and Surety Service (FC&S).  A graduate of the University Of Cincinnati College Of Law, Kelly worked in the legal and insurance fields for LexisNexis®, Progressive Insurance, and a Cincinnati insurance defense litigation firm prior to joining Summit. Kelly holds a BA from Miami University, with a double major in English/Journalism and Psychology. 

Kelly has edited and contributed to numerous books and publications including the Personal Auto Insurance Policy Coverage Guide, Cyberliability and Insurance, The Tools and Techniques of Risk Management for Financial Planners, Claims Magazine, and ProducersWEB.

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