Speaking Engagement

ALI-ABA Conference on Collective Trust Funds: Current Banking, SEC, and ERISA Regulatory and Compliance Issues

05 May 2011 08:00 a.m. - 05:30 p.m.

Ali-ABA Conference Center
4025 Chestnut Street
Philadelphia, PA 19104
Christie Adams
(212) 336-4024

Collective Trust Funds (CTFs) are rapidly becoming the investment vehicle of choice for many 401(k) plan sponsors. CTFs are only available to tax-exempt 401(k), pension, profit-sharing, and governmental retirement plans. Now that these funds offer daily valuation and investment direction combined with the potential for lower costs, many 401(k) plan sponsors have moved toward CTFs instead of registered mutual funds. They now dominate the 401(k) arena.

Although CTFs have been around since the early 20th century, recent regulatory and market developments have created new business opportunities and, at the same time, legal challenges.

Our faculty of leading banking, SEC, and ERISA lawyers are joined by other leading professionals in the area to provide you with updates on all of the regulatory developments affecting these important vehicles. They also review marketplace developments and new product design features.

Event Schedule:

8:00 a.m. Registration and Continental Breakfast
8:55 a.m. Welcome and Announcements - ALI-ABA Staff

  • Video Webcast Segment A 

9:00 a.m. Overview of the Regulatory Structure   

  • An Overview of the Applicable OCC Regulations
  • The Type of Oversight Exercised by the DOL and IRS
  • Applicable Exemptions under the Investment Company Act and the Securities Act of 1933
  • Relevant Provisions under the Advisers Act of 1940

10:30 a.m. Networking and Refreshment Break
10:45 a.m. Marketplace Developments

  • Growth of Collective Trust Funds
  • Target Date Funds 

12:00 noon Lunch and Address -- Mr. Miller

  • Video Webcast Segment

1:30 p.m. Marketing, Distribution, and Advertising Issues

  • Broker-Dealer Distributions 
  • Impact of the Securities Laws
  • Participants' Access to Websites
  • Tips and Traps

2:30 p.m. New Product Strategies

  • Guarantees
  • Alternative Investments  
  • Commodities

3:30 p.m. Networking and Refreshment Break
3:45 p.m. Third-Party Advisory Arrangements

  • Structuring Issues
  • Complying with the "Maintained By" Requirement Imposed by the Investment Company Act 
  • Due Diligence

4:45 p.m. Stable Value Funds

  • The Future of Stable Value Funds
  • Structuring Issues
  • The Role of Various Players

5:30 p.m. Adjournment


  • Charles M. Horn

ALI-ABA will provide CLE credit.




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