Retirement Plan Governance Best Practices: Overview

  • Accountant
  • AFSP
  • CRTP
  • CPA (US)
  • CFA
  • EA
  • HRCI
  • ORTP
  • CPA/PFS
  • SHRM
  • TEP
  • ChFC
  • CSA
  • MRTP
  • ERPA
  • FSCP
  • CASL
  • ChSNC
  • RICP
  • WMCP
  • CIPM
  • CFIRS
  • CWS

Published: September, 2021

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  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description

Overview

  • Safety and Profitability
    3 mins
  • Applicability of ERISA
    13 mins
  • Who is Fiduciary?
    17 mins
  • Related Documents
    26 mins
  • The Investment advisor para
    34 mins

Course Description

The number one reason for lawsuits against employer-sponsored retirement plans is a breach of fiduciary responsibility. 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. 


This Online CPE Webinar on Retirement Planning covers following Key Topics:

  • An overview of retirement planning and what it entails
  • Governance issues faced during Retirement Plan governance
  • How to identify the gaps existing in your current governance plan
  • Best practices to be followed in governance planning and how to implement them. 


Recommended for: 

  • CPAs and Tax Professionals who want to provide guidance to their business clients in selecting the right retirement plan
  • Business and firm owners, CFOs, CEOs, Top Management Professionals in Industry


Click to access more webinars on Free Ethics | Free CPE webinars | IRS Resolution

Learning Objectives

  • To discuss about retirement plan governance issues.
  • To identify existing gaps in plan governance.
  • To discuss method for implementing best practices in plan governance.

Recommended For

This online CPE webinar for CPAs is recommended for CEOs, CFOs, Top Management Professionals, CPAs and Tax Professionals who want to provide guidance to their business clients in selecting the right Retirement Plan

Who Should Attend?

  • Accounts Director
  • Business Owner
  • California Registered Tax Professional
  • CFO/Controller
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Enrolled Agent
  • HR Professionals
  • Human Resources Manager
  • Maryland Tax Preparers
  • Oregon Tax Preparers
  • Tax Attorney
  • Tax Director (Industry)
  • Tax Firm
  • Tax Managers
  • Tax Practitioners
  • Tax Preparer
  • Tax Professionals
  • Tax Pros
  • Trust & Estate Tax Professional
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1 PDC Credit of Business Acumen for SHRM Professionals (Approval No. 22-7JKC9)
  • 1 RCH Credit of HR (General) for Human Resource Certification Institute (HRCI) (Approval No. 583572)
  • 1 CE Credit for Certified Senior Advisor (CSA)
  • 1 CPE Credit of Taxes for Certified Public Accountants (CPA-US)
  • 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 CE Credit of Federal tax-related matters for Annual Filing Season Program (AFSP)
  • 1 CE Credit of Federal tax-related matters for California Registered Tax Preparers (CRTP) (Approval No. 6273-CE-0451)
  • 1 PL Credit for Chartered Financial Analyst (CFA)
  • 1 CE Credit of Federal tax-related matters for Oregon Registered Tax Preparers (ORTP) (Approval No. GEHNZ-T-00451-21-S)
  • 1 CPD Credit of Retirement and Financial Independence Planning for Personal Financial Specialist (PFS)
  • 1 CPE Credit of Retirement Planning for Chartered Financial Consultant (ChFC)
  • 1 CE Credit of Federal tax-related matters for Maryland Tax Preparer (MRTP) (Approval No. GEHNZ-T-00451-21-S)
  • 1 CE Credit of Qualified Retirement Plan Matters for Enrolled Retirement Plan Agent (Approval No. GEHNZ-Q-00526-21-S)
  • 1 CPE Credit of Retirement Planning for Financial Services Certified Professional (FSCP)
  • 1 CPE Credit of Retirement Planning for Chartered Advisor in Senior Living (CASL)
  • 1 CPE Credit of Retirement Planning for Chartered Special Needs Consultant (ChSNC)
  • 1 CPE Credit of Retirement Planning for Retirement Income Certified Professional (RICP)
  • 1 CPE Credit of Retirement Planning for Wealth Management Certified Professional (WMCP)
  • 1 PL Credit for Certificate In Investment Performance Measurement (CIPM)
  • 1 CE Credit of Federal tax-related matters for Enrolled Agents (EA) (Approval No. GEHNZ-T-00451-21-S)
  • 1 CPD Credit for Trust and Estate Practitioners (TEP)

Additional details

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

IRS APPROVED

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

MY-CPE LLC (Sponsor Id#: GEHNZ) has entered into an agreement with the Internal Revenue Service, to meet the requirements of 31 Code of Federal Regulations, section 10.6(g), covering maintenance of attendance records, retention of program outlines, qualifications of instructors, and length of class hours. This agreement does not constitute an endorsement by the IRS as to the quality of the program or its contribution to the professional competence of the enrolled individual. Credit earned by attendees with a PTIN will be reported directly to the IRS as required of all providers. To ensure your CPE hours are reported, update your profile in My Account to include your PTIN number. Please note: IRS CE is only mandatory for EAs and ERPAs. For all other tax return preparers, CE is voluntary.

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.

CTEC APPROVED

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

MY-CPE LLC (Sponsor ID# : 6273) has been approved by the California Tax Education Council to offer continuing education courses that count as credit towards the annual “continuing education” requirement imposed by the State of California for CTEC Registered Tax Preparers. A listing of additional requirements to register as a tax preparer may be obtained by contacting CTEC at P.O. Box 2890, Sacramento, CA, 95812-2890, toll-free by phone at (877) 850-2832, or on the Internet at www.ctec.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

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  • 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

462 Ratings

Excellent

277

Very Good

159

Average

25

Poor

0

Terrible

1

WL

William Linafelter, SHRM - SCP

Jan 17th, 2022

Outstanding instructor. Very clear and easy to understand on a topic that's incredibly complicated.

LS

Liana Sive, EA

Dec 18th, 2021

I knew very little on the subject of fiduciary responsibility. This overview opened my eyes.

JS

Jennifer Syme

Nov 6th, 2021

Excellent speaker. Clear, concise, and pertinent info shared.

DS

Dale Scrimger, CPA (US)

Aug 6th, 2022

the real life examples and the knowledge of the presenter.

JD

Jennifer Derosa, SHRM - CP

Mar 10th, 2022

The information was presented well and easy to understand.

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