Cannon Financial Institute

ERISA Compliance & Risk Management

This course is designed to assist compliance, risk management, auditing professionals and retirement services professional to determine the specific risks associated with the offerings in Retirement Services.

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 determines which risks are present and the quantity of those risks. The course will focus on the following areas: compliance risk; operational risk; strategic risk and reputational risks associated with retirement products and services.


  • 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)
  • Ideas Concerning Internal Evaluation of the Risks in the Retirement Services Area

Many professionals satisfy Continuing Education and/or Continuing Legal Education requirements with this course. Rules for CE and CLE approval are time sensitive and vary by designation and state. Cannon encourages early registration in order to allow for ample processing (request for credits may not be available after course completion).

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