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Event Registration - Understanding the Role of Retirement Plan Fiduciaries: What Investment Professionals Need to Know

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Wednesday, November 03, 2021
12:00 PM - 1:00 PM Eastern Daylight Time
Understanding the Role of Retirement Plan Fiduciaries: What Investment Professionals Need to Know

Description
The retirement industry has evolved dramatically since ERISA was passed in 1974.  As the investment landscape has become more complex, so has the role of retirement plan fiduciaries.  With ERISA litigation against plan sponsors on the rise, this session will seek to provide an overview of fiduciary responsibilities with an eye toward equipping retirement committee members with the tools required to navigate these increasingly turbulent waters. 

Join us for a presentation by Mitch Shames, JD, LL.M., and Dave Nolan, CFA, of Harrison Fiduciary Group, two leading experts in prudent retirement plan oversight, who will shed light on the responsibilities and the liabilities of retirement committee members.  The presentation will go beyond the normal purview of the investment professional and dive into the areas of expertise that retirement plan fiduciaries will need to develop.  In addition to reviewing the fiduciary responsibilities for committee members, the speakers will also provide practical examples by reviewing basic issues surrounding Target Date Funds, the largest and fastest growing investment option in 401(K) plans.  The speakers will also discuss recent Department of Labor initiatives that may impact the industry. 

Speaker Bios

Mitchell S. Shames, JD, LI.M. 
Founder & Managing Director 

As the Founder and Managing Director, Mitch brings more than 35 years of industry experience to HFG. Mitch is a leading expert in fiduciary practices and investment products for both domestic and global institutional clients. An attorney for over three decades, Mitch was the long time General Counsel for State Street Global Advisors (SSgA), advising the firm from its inception to its position as an industry leader. Under his leadership, SSgA successfully structured a variety of fiduciary relationships for their clients. He served as a member of SSgA’s Independent Fiduciary Committee, providing fiduciary services for the benefit plans of firms such as United Airlines, Enron, Cargil and WR Grace. His expertise in the establishment of fiduciary policies and procedures contributed to the firm’s victories in significant class action lawsuits. Mitch earned an A.B. degree from the University of Chicago and a J.D. degree from Boston College Law School. He also holds an LL.M. degree from New York University. 

David P. Nolan, CFA 
Chief Fiduciary Investment Officer
 
As the Chief Fiduciary Investment Officer, Dave brings more than 36 years of investment experience to HFG. Prior to joining the firm, Dave was a Senior Portfolio Manager at Pan Agora Asset Management, Inc. where he had investment oversight for international equity portfolios across emerging and developed markets and was also responsible for quantitative research and performance attribution and analysis. Prior to his work at Pan Agora, Dave held Senior Portfolio Manager positions with Independence Associates and Boston International Advisors, and he also worked in the investment operations departments of both The Boston Company and State Street Bank & Trust Co. Dave earned a B.S. degree in Business Administration from Boston College and an M.B.A. in Finance from Suffolk University. He is a holder of Chartered Financial Analyst (CFA) Designation. 

Pricing 

Members | Complimentary
Non Members | Complimentary

Professional Learning Credits
CFA Boston has determined that this event qualifies for 1 PL credit hour under the guidelines of CFA Institute's Professional Learning Program.  If you are a CFA Institute member and a CFA Society Boston member, PL credit for your participation in this event will be automatically recorded in your PL tracking tool. Otherwise, you may upload 1 PL credit to your CFA Institute account in the PL tracking tool. 

Registration 
Members can register by logging into their Boston specific account. Non-members and CFA Society Global members must create an account, or log into their Boston specific account, to register for this program. Zoom details will be sent following registration. If you do not receive a confirmation email, please ensure you have completed the entire checkout process. 





















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