ERISA Compliance

PROJECT OVERVIEW:

This training provides an overview of the Employee Retirement Income Security Act 1974 (ERISA), and the exemption certain Credit Suisse Registered Investment Advisers (RIAs) have received from the Department of Labor allowing them to continue managing the assets of plans subject to ERISA and Individual Retirement Accounts (IRAs).

 

In 2014, Credit Suisse was convicted of U.S. felony charges relating to assisting (and soliciting) tax evasion by U.S. taxpayers. The ERISA Compliance course explains the special exemption that allows Credit Suisse to continue managing ERISA assets subject to certain requirements and summarizes some key provisions of ERISA.

 

What are the types of issues that may present ERISA considerations? Learners are actively engaged in real-life scenarios via crunch decision points where they must offer advice on what the characters should do.

Learners are encouraged to think and act on the situation presented. The course mentor, Maria, is on hand to offer advice. Maria aims to instil an understanding that mistakes, per se, won’t lead to the loss of the exemption, but a failure to report and promptly correct will do.

 

The course is split into eight topics:

Welcome

Credit Suisse Exemption Key Requirements

About ERISA

Filings, Statements, and Internal Walls

Devices:

Desktop, Tablet

Duration:

50 - 60 minutes

LAUNCH TUTORIAL

If Things Go Wrong

Doing It Right

Ask Maria

Assessment

COURSE SCREEN SHOTS

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