Buch, Englisch, 128 Seiten, Format (B × H): 137 mm x 211 mm, Gewicht: 136 g
ISBN: 978-1-59280-309-5
Verlag: Wiley
An indispensable guide to avoiding the legal and financial pitfalls and of retirement plan investment
While it has always been true that a well-staffed and managed investment committee is key to the success of a corporate retirement plan, in today's increasingly complex and litigious world it is also a matter of survival. But what constitutes a prudent investment committee selection and operating process? How should a committee be selected and governed? How much reliance should a committee place on outside consultants? Written by an author with extensive, in-the-trenches experience, this book provides complete answers to these and all vital questions concerning the creation, staffing and management of a highly-adept investment committee, along with expert advice and guidance on serving on an investment committee and ensuring that your 401(K) investment program is sound, efficient and in complete compliance.
- Offers expert advice and guidance on how to serve successfully on an investment committee, facilitate effective management, design and implement a robust investment policy and much more
- Packed with sample documents, forms, templates, checklists, diagrams and other valuable, ready-to-use resources
- Features numerous real-world examples drawn from the author’s years of experience as an accredited investment
Weitere Infos & Material
FOREWORD vii
INTRODUCTION ix
ABOUT THE AUTHOR xi
CHAPTER 1: Why You Need a 401(k) Investment Committee 1
CHAPTER 2: Forming an Investment Committee 9
CHAPTER 3: Investment Committee Meetings 17
CHAPTER 4: Importance of Investment Policy 25
CHAPTER 5: Complying with Erisa Section 404(c) 31
CHAPTER 6: Selecting, Monitoring and Replacing Investment Managers 37
CHAPTER 7: Employer Stock in the 401(k) Plan 47
CHAPTER 8: Hiring a Pension Consultant 51
CHAPTER 9: Fiduciary Liability Insurance 61
CHAPTER 10: Understanding Investment Expenses & Fees 67
APPENDIX 1: Investment Option Evaluation Form 79
APPENDIX 2: Investment Committee Meeting Minutes 81
APPENDIX 3: Fiduciary Acknowledgment Letter 83
APPENDIX 4: By-laws and Operating Procedures for the Investment Committee 85
APPENDIX 5: Fiduciary Audit Checklist 91
APPENDIX 6: Glossary 95
APPENDIX 7: Resources 107
