Courses
ERISA Compliance & Risk Management
Offering Retirement Plan Products and Services exposes financial institutions to a range of risk factors. The nature and scope of an institution’s varying services determine which risks are present and the quantity of those risks.
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- Available settings
- On-Campus, Nashville, TN
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- School
- Trust Audit, Compliance and Risk Management
Areas of Study Include: Plan Types, DOL’S Mandates under ERISA: Titles 1-4, IRS Mandates under 401 (a) and subsections, Primary Examination Areas of the DOL (16 Specific Concerns), Primary Examination Areas of the IRS (22), and Ideas Concerning Internal Evaluation of the Risks in the Retirement Services Area, Mandatory + Optional Change Dictated by Secure + Secure II Acts
*May satisfy CE/CLE requirements
Related Courses
Trust Audit, Compliance & Risk Management Issues & Updates
Stay at the forefront of trust audit and compliance. Explore current industry developments, emerging hot topics, and critical regulatory changes. Engage with case studies and participate in roundtable discussions. Ideal for CFIRS® professionals, regulatory experts, and internal trust auditors seeking to maintain cutting-edge knowledge.
Trust Audit, Compliance & Risk Management III
Master complex CFIRS® topics including ERISA responsibilities, retirement plan features, and RIA compliance. Explore securities operations, corporate trust, and agency services. Essential for senior regulatory roles and CFIRS® certification. Prerequisites: TACRM I and II.
Trust Audit, Compliance & Risk Management II
Advance your CFIRS® knowledge with trust accounting, taxation, and audit principles. Delve into the securities marketplace, equities, and debt securities. Enhance your skills in portfolio management and securities lending. Prerequisite: TACRM I.