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Retirement Plan Governance Best Practices Fiduciary Responsibility

  • Accountant
  • CFP (US)
  • CPA (US)
  • HRCI
  • SHRM
  • CFIRS
  • CWS

Published: September, 2021

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Before starting this self study program, please go through the instructional document.

  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description

Overview

  • Benefits of Good Plan Governance
    3 mins
  • The Oversight Committee
    12 mins
  • Hiring an Investment Advisor
    17 mins
  • Monitoring Service Providers
    21 mins
  • Roles and Responsibilities
    31 mins
  • Fidelity Bond vs. Fiduciary Liability
    38 mins
  • Prohibited Transactions
    43 mins
  • Best Practices
    47 mins

Course Description

A fiduciary is a person or organization that acts on behalf of another person or persons, putting their clients' interests ahead of their own, with a duty to preserve good faith and trust. Being a fiduciary thus requires being bound both legally and ethically to act in the other's best interests. 

A retirement plan governance carries the duty of care and trust for the participants and the action is taken must be for the benefit of the participants. By focusing on plan governance, plan sponsors can implement a prudent process for carrying out their fiduciary responsibility, and improve the quality of the retirement plan they offer employees. 

In this Retirement best practices CPE webinar, participants will take away a fresh perspective on:

  • Fiduciary responsibility, 
  • Identify the fiduciaries to their retirement plans, and 
  • Implement best practices in fulfilling their fiduciary responsibility.


This best practices webinar will cover the following key topics:

  • Taking an overview of Fiduciary Responsibility
  • Various strategies to implement best practices to carry out fiduciary responsibility
  • Implementing various strategies of best practices into the company plan


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Learning Objectives

  • To identify meaning and role of being a fiduciary.
  • To identify who is a fiduciary to your retirement plan.
  • To implement best practices.

Recommended For

This Online Continuing Education Webinar on Retirement Plan Governance is recommended for Certified Public Accountants (CPA), Enrolled Agents (EAs), And Tax Preparers

Who Should Attend?

  • Accountant
  • Accounting Firm
  • Accounting Managers
  • Bookkeepers & Accountants & Tax Preparers
  • California Registered Tax Professional
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • CPA in Business
  • Entrepreneurial CPA
  • Senior Accountant
  • Staff of Accounting Firm
  • Tax Accountant (Industry)
  • Tax Attorney
  • Tax Director (Industry)
  • Tax Firm
  • Tax Managers
  • Tax Practitioners
  • Tax Preparer
  • Tax Professionals
  • Tax Pros
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
  • 1 CE Credit of Retirement Savings and Income Planning for Certified Financial Planner (US) (Approval No. 300798)
  • 1 CE Credit for Certified Fiduciary & Investment Risk Specialist (CFIRS)
  • 1 CE Credit for Certified Wealth Strategist (CWS)
  • 1 General Credit for Accountant/Bookeeper
  • 1 PDC Credit for SHRM Professionals (Approval No. 22-6JTWV)
  • 1 RCH Credit of HR (General) for Human Resource Certification Institute (HRCI) (Approval No. 595192)

Additional details

  • Course Level :
    Basic
  • Credits :
    1
  • Instructional Method :
    QAS Self Study
  • Pre-requisites :
    None
  • Advance Preparation :
    None

NASBA APPROVED

MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.NASBARegistry.org.

Presenter

About Presenter

Kathleen Dulko, CPA (US), CPFA

President, Ashford Investment Advisors

Kathleen Dulko started her financial services career as a CPA focusing on retirement plan, health care, and government audits. In 2010, she earned the position of Corporate Controller for a tax-supported healthcare system, where she was a member of the Retirement Plan and Investment Committees, overseeing more than $1 billion in assets. Ms. Dulko joined Ashford Investment Advisors in 2017 where she serves as a 3(38) Investment Manager to her retirement plan clients. Connect on LinkedIn for regular updates on Plan Governance!

About Company

Ashford Investment Advisors

ashfordinvestmentadvisors.com/

Ashford Investment Advisors is a Registered Investment Advisor (RIA) based in Daytona Beach, Florida. We are proud to offer our services as a 3(38) Investment Manager. Our unique service model combines the plan governance components of a named fiduciary with the risk transfer benefit of a 3(38) Investment Manager. Visit our website at AshfordPlanReview.com to sign up for our monthly newsletter and learn more about PlanAssure, our exclusive 12-point plan governance process.

Faq

FAQs content

  • To receive Continuing Education credit for the event, you must register for the webcast prior to the start of each program.
  • Continuing Education Credit Certificate is available to all eligible participants within 24 hours of each webinar.
  • You must attend complete live webinar and respond to all polling questions asked during the webinar. Credits would be issued on 50 minute credit hour basis.
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  • This event may be a recorded rebroadcast of a live event done in past and the instructor will be available to answer your questions during/after the webinar.
  • If you still face the polling problem please don’t panic and provide your response in the chat and we shall consider the same for processing for credits. You can download Zoom by clicking on the mentioned link : https://zoom.us/download
  • Our courses meet the global Continuing Professional Development (CPD-IES7) Standard for Chartered Accountants with International Education Standard 7 (IES 7) set by The International Federation of Accountants (IFAC), the International Accounting Education Standards Board (IAESB) and the Association of Chartered Certified Accountants (ACCA). Based on our accreditation by existing IFAC members and affiliates, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • You can manage your continuing education certificates and credits through your certificate dashboard which is available when you are logged in to your account (LOGIN)
  • As an accredited provider of Continuing Professional Education in the United States, myCPE online learning platform, courses, and webinars meet the requirements set forth by the Institute of Management Accountants (IMA), an IFAC Member Organization, as well as the National State Boards of Accountancy (NASBA) and the Institute of Internal Auditors (IIA), both IFAC Affiliates. As well as it has been approved by NASBA, Internal Revenue Service (IRS), Certified Financial Planner Board (CFP Board), California Tax Education Council (CTEC), Society of Human Resource Professional (SHRM), Human Resource Certification Institute (HRCI) and many more.Therefore, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable continuing education requirement as CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • myCPE Courses are taken by : CPA | CMA | CFE | CIA | CPA(Yellow Book)| CFP | CFA | CPA (Govt.) | EA | CRTP | MRTP | ORTP | ABV | CITP | CVA | PFS | CFF and others.

Ratings and Review

4.5

345 Ratings

Excellent

204

Very Good

115

Average

23

Poor

3

Terrible

0

KM

Kyle Minges, CPA (US)

Jun 15th, 2022

Great

AT

Anna Tellez

May 6th, 2022

all

VZ

Valerye Zarrad, SHRM

Jul 1st, 2022

This was very informative, but it seemed the speaker was reading from a script, which made for a dry presentation. The information provided was important, however.

RM

Renee Maggart, CPA (US)

May 25th, 2022

N/A

TC

Trisha Copp, AFSP, Tax Professional

Apr 25th, 2022

Excellent class for understanding fiduciaries and their responsibilities.

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