Breaking Down the Many “Fiduciary” Roles, Obligations and Service Models Today

Speaker: Gregory W. Kasten, CPC, MD, MBA, CFP, AIFA, founder & CEO, Unified Trust Company, NA

Plan sponsors are often presented with a menu of fiduciary options available to them by potential advisors (e.g., 403(a) discretionary trustee, ERISA 3(38) investment manager, ERISA 3(21), 3(16) Administrator, 402(a) named fiduciary) which can be confusing when trying to understand the risk, liability, costs and protections available among the options. This webcast will explore the various types of fiduciaries and what is required to satisfy each type and level of fiduciary responsibility. This webcast will also examine the risks from the plan sponsor’s residual remaining fiduciary status, and how to minimize those risks and potential liability. It will also highlight recent and ongoing court cases whereby vendors often distance themselves from their fiduciary “sale materials.”

Attendee Takeaways:

• Be able to clearly explain the six types of fiduciary roles and support services offered today.
• Show plan sponsors and retirement committees where their residual duties and risks lie with various fiduciary service models.
• Help plan sponsors and retirement committees reduce their risk and make sure that all fiduciary duties are properly understood, executed and documented.

REGISTRATION

Important Webcast Changes
Please note attendees who purchase this recorded webcast will be able to pause the recording, but cannot skip back and forth while viewing the webcast. If attendees log out of the recording, they will not be able to log back in where the recording left off. This feature allows ASPPA to accurately determine and monitor completion of the modules by attendees, so attendees are no longer required to complete and pass a quiz to receive CE credit.

Registration Prices

Recorded Webcast
(registration deadline: 01/15/15)

Registration for Recorded Webcast Includes:

• One viewing of the Webcast recording to play anytime before the one year expiration date
• Webcast outline and any additional presentation materials

Recordings are available one week after the live webcast takes place.

Webcast Package Pricing

Please click here for information on package pricing for classroom style webcasts and webcourse viewing. For more details on additional training package offerings, please contact [email protected].

Methods of Registration

To prevent duplication of payment, please select only one method of registration. Once your registration is processed, you will receive an electronic Registration Confirmation to the e-mail address listed on your registration form.

Click here to download a registration form

Online: For credit card payment only. Receive an immediate e-mail Registration Confirmation.
E-mail: E-mail your scanned registration form(s) and credit card information to [email protected].
Fax: Fax your scanned registration form(s) and credit card information to 703.516.9308.
Mail: ASPPA – PO Box 34725, Alexandria, VA 22334-0725

For express/overnight deliveries (FedEx, DHL, etc.) send to:
ASPPA, 4245 N Fairfax Dr Suite 750, Arlington, VA 22203
Make checks payable to ASPPA

CONTINUING EDUCATION INFORMATION

ASPPA Members

The webcast is designed to offer registrants 2 ASPPA CE credits.

Continuing Education Changes for RECORDED Webcast Attendees

Once registered, attendees will receive a confirmation letter directing them to the “Access Recorded Webcasts” page with a link to the WebEx OnDemand Center. Each registered viewer will be tracked when they log in with their name and email address. The webcast link will expire once the attendee has satisfied the CE requirement. CE credits will be applied to their record on a periodic basis and a certificate of attendance will be available on each attendee's My ASPPA page.

GENERAL INFORMATION

Cancellation Policy

All Webcasts are non-refundable. If you have registered for the live Webcast and are unable to attend, please email [email protected] and request to transfer your registration to the recorded version. This request must be made before the live Webcast takes place.

Disclaimer

The statements and materials presented on ASPPA webcasts are solely the opinions of the speakers and do not represent the opinion or the position of ASPPA. ASPPA assumes no responsibility for the content and materials presented by speakers during the webcast.

ABOUT THE SPEAKER

Gregory W. Kasten, CPC, MD, MBA, CFP, AIFA

Greg serves as founder and CEO of Unified Trust Company, NA. Following graduation from Southern Illinois University School of Medicine in 1980, he completed an internal medicine internship and anesthesiology residency at the University of Kentucky Medical Center and is a board certified anesthesiologist. He received a master of business administration degree with an emphasis on finance and investment management from the University of Kentucky College of Business Graduate School. Greg was awarded the Accredited Investment Fiduciary Analyst™ designation by the Center for Fiduciary Studies. The Denver College of Financial Planning awarded Greg the Certified Financial Planner™ designation. The American Society of Pension Professionals and Actuaries awarded him the Certified Pension Consultant designation.

Greg has published more than seventy-five papers on financial planning and investment-related topics in various financial and business journals, wrote two editions of the book Retirement Success, and has developed the Unified Fiduciary Monitoring Index® as a method of measuring mutual fund and predictive performance factors when observed from a fiduciary standpoint. He has given dozes of lectures on fiduciary best practices to pension professionals and Federal banking regulators. In 2005 he co-authored the first-place winning paper entitled: “Post Modern Portfolio Theory” and presented the paper at the Financial Planning Association national meeting. He has more than twenty-five years of investment experience and has been with the company since 1985. In 2007-2009, Medical Economics listed Greg as one of “The 150 Best Financial Advisors for Doctors” in the country. In 2007-2010, Greg oversaw development of the revolutionary unifiedPLAN®. The unifiedPLAN® creates a “pension-like” experience for each 401(k) plan participant, and greatly improves their retirement success.

Beginning in 2006, CEFEX, the Centre for Fiduciary Excellence, LLC, has annually certified Unified Trust Company, NA to the Fiduciary Practices for Investment Advisors. Unified Trust Company was among the first Investment Advisors globally to successfully complete the independent certification process. Unified Trust Company was the first trustee certified in the United States. Unified Trust Company was certified for its discretionary investment services provided in a trust environment for trustee-directed and participant-directed DC plans and individual investors.

QUESTIONS

Registration and General Questions
ASPPA Customer Support
703.516.9300
[email protected]

Please Note: All members of the media must register as such by contacting Ryan Shucard at [email protected], or by calling 703-516-9300 ex. 130.