About the Course
Introduction
This CLE webinar will guide employee benefits and asset management counsel on critical issues and recent developments impacting retirement plan investments. The panel will discuss regulations for ESG and plan voting, cryptocurrency and other alternative investments, private equity offerings to 401ks and IRAs, challenges of plan asset hedge fund and private equity fund investing, and other key issues.
Description
In light of recent developments regarding retirement plan investments, fiduciaries and their counsel must recognize the challenges of investing in plan asset hedge funds and private equity funds and offerings made to 401ks and IRAs. An in-depth understanding of these issues and regulations is essential to avoid unintended liability and potential claims.
A fiduciary of an individual account plan may, consistent with ERISA requirements, offer as an investment option under the plan a professionally managed asset allocation fund with a private equity component. However, due to the complexity, limited transparency, and liquidity of private equity investments, including a private equity component in an investment option can increase the potential liability for fiduciaries, who have a legal duty to select prudent investment options. ERISA also requires fiduciaries to monitor designated investment alternatives under the plan. Fiduciaries are liable for any losses resulting from the failure to monitor these investments prudently.
Employee benefits and asset management counsel must become familiar with these regulations and plan accordingly.
Listen as our panel discusses regulations for ESG and plan voting, cryptocurrency and other alternative investments, private equity offerings to 401ks and IRAs, the challenges of plan asset hedge fund and private equity fund investing, and other key issues.
Presented By
Mr. Aspis provides counsel to clients on a full suite of ERISA/qualified plan issues and keeps his clients up to date with the ever-changing benefits compliance landscape. He guides clients through thorny issues that arise with respect to defined contribution plans (401(k), 403(b), profit-sharing), defined benefit plans and health and welfare plans. Mr. Aspis is adept at analyzing and drafting non-qualified deferred compensation arrangements (both 409A and 457 arrangements), incentive plans, bonus plans, change-in-control plans, retention agreements, equity and “equity-like” plans and other types of more bespoke executive compensation programs. He regularly drafts employment agreements, consulting agreements and severance agreements. On the M&A side, Mr. Aspis provides buy-side and sell-side diligence for employee benefits, executive compensation (including 280G) and general employment matters. His counsel encompasses advising on the covenants, rep and warranties in purchase agreements, and drafts any ancillary or go-forward agreements as they arise.
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This 90-minute webinar is eligible in most states for 1.5 CLE credits.
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Date + Time
- event
Thursday, March 5, 2026
- schedule
1:00 p.m. ET./10:00 a.m. PT
I. ERISA fiduciary duties for institutional investors
A. Disclosure
B. Compliance
C. Valuation
II. Hedge funds and private equity fund investing
III. ESG and plan voting regulations
IV. Trends in litigation involving plan fiduciaries and fund managers
V. Best practices for developing due diligence plans
The panel will discuss these and other key issues:
- Regulatory considerations for ERISA plans that allocate assets to hedge funds and private equity funds
- Fiduciary governance and evaluating plan investment options
- ESG and plan voting regulations
- ERISA plans and asset manager fiduciary standards and compliance
- Recent litigation involving plan fiduciaries and fund managers
Related Courses
Avoiding Nonqualified Plan Traps: Key Considerations for ERISA Counsel and Employers
Tuesday, March 17, 2026
1:00 p.m. ET./10:00 a.m. PT
