Most investment advisers have covered accounts under ERISA, yet the complex ERISA regulations often leave advisers with more questions than answers. Ascendant’s May 2013 ComplianceCast highlighted some of the issues faced by advisers to ERISA plans. In this follow-up, we respond to a selection of the ERISA questions asked by your peers.
Listen to the podcast below:
You can also download this podcast by right clicking here and selecting save as.
- Diminished Capacity and Senior Clients: What Steps Compliance Can Take to Protect its Firm and the Client
- Ethics: Building a More Ethical Workforce
- One Phish, Two Phish, Red Phish, Blue Phish: How to Detect and Mitigate Social Engineering and Ransomware Techniques
Recent ComplianceCast™ Minutes