10 Basic Rules for an ERISA Fiduciary

Wednesday July 24, 2019
1:30 pm - 3:00 pm ET
90 minutes

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An ERISA plan fiduciary is subject to many rules and regulations that are complex and which carry heavy penalties for noncompliance. Join experienced ERISA fiduciary lawyer Anthony A. Dreyspool as he discusses the 10 basic rules that must be observed by a plan fiduciary, including knowing whether a person or an entity is a fiduciary, how ERISA expects a fiduciary to act and what happens if he or she fails to meet applicable legal standards. This presentation will give you a thorough review of how ERISA and the US Department of Labor (DOL) regulate plan fiduciary conduct.

In 2016 DOL issued its long-awaited regulation on investment advisers that changed and broadened the definition of who is an ERISA fiduciary.   The rule was struck down by a federal court, and Mr. Dreyspool will describe the regulation, review its demise and explain what will happen next.  Mr. Dreyspool will also review the holdings of ground-breaking legal decisions that directly affect a plan fiduciary’s risk of personal liability.


  • Know when you become an ERISA plan fiduciary; learn about the DOL’s attempt to expand the definition of a fiduciary and what happens now.
  • Allocate and delegate your fiduciary responsibility to the extent prudent and feasible.
  • Make sure your 401(k) plan qualifies as a Section 404(c) plan.
  • Know about the plan assets regulation and whether your plan is deemed to own assets of entities in which it invests.
  • Obey the ERISA standard of conduct for fiduciaries.
  • Act with “procedural prudence.”
  • Avoid prohibited transactions and breaches of fiduciary duty.
  • Remit employee contributions to your plans on a timely basis.
  • Meet your reporting and disclosure requirements.


Anthony A. Dreyspool, Esq. has extensive experience regarding ERISA matters and substantial knowledge in structuring and forming private real estate and equity funds for the institutional investment market. He has counseled plan sponsors regarding fiduciary matters and many of the largest real estate fund managers on ERISA and fund formation matters.

Before forming his own firm, he was a partner with DLA Piper, and prior to that, Of Counsel at Paul, Hastings, Janofsky & Walker in New York. Before that, he was the chief ERISA attorney for AXA Equitable Life Insurance Company. In that role, he advised Equitable and its investment management subsidiaries on all legal requirements involved in the investment of ERISA plan assets. Currently, Mr. Dreyspool is also an independent senior fiduciary consultant with Gallagher Fiduciary Advisors, LLC.

Mr. Dreyspool is the author of ERISA Fiduciary Law for Non-Lawyers, Second Edition.

Continuing Education Information

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Continuing HRCI Credit Information
This program has been pre-approved for 1.5 hours of General recertification credit hours through the HR Certification Institute. Use of the seal is not an endorsement by the HR Certification Institute of the quality of the program. It means that this program has met the HR Certification Institute's criteria to be pre-approved for recertification credit.

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Continuing SHRM Credit
Park Avenue Presentations is recognized by SHRM to offer Professional Development Credits (PDCs) for the SHRM-CPSM or SHRM-SCPSM. This program is valid for 1.5 PDCs for the SHRM-CPSM or SHRM-SCPSM. For more information about certification or recertification, please visit www.shrmcertification.org

Continuing Legal Education Credit 

This webinar has been approved in the following states for continuing legal education credit by The Marino Legal Academy:

California: 1.5 credit hours
The Marino Institute for Continuing Legal Education is a State Bar of California approved MCLE sponsor and this course qualifies for 1.5 credit hours of participatory CLE credit.

New Jersey: 1.5 credit hours
This webinar has been approved by the Board on Continuing Legal Education of the Supreme Court of New Jersey for 1.5 CLE credit hours.

New York: 1.5 areas of professional practice credit hours
This course has been approved in accordance with the requirements of the New York Continuing Legal Education Board for veteran attorneys for 1.5 credit hours, of which 1.5 credit hours may be applied toward the Areas of Professional Practice.

Pennsylvania: 1.5 credit hours

This Distance Learning program has been approved by the Pennsylvania Continuing Legal Education Board for 1.5 hours of substantive law, practice and procedure CLE credit.

To receive CLE credit for this webinar in those states, please request such credit by writing to info@parkavenuepresentations.com.  Your request will be forwarded to The Marino Legal Academy for processing.

CLE credit for this webinar may also be awarded in a number of other jurisdictions. For more information, please contact a Marino Legal Academy legal education consultant at (212) 249-3779, x104.

Webinar Overview

  • 90 minutes (Travel Free) delivered over the Internet.
  • Unlimited listeners per connection - bring the entire department.
  • Q&A session with the expert.

This event will be presented live with a PowerPoint presentation to be viewed on your computer. You may listen to the audio of the webinar by telephone or through your computer. The PowerPoint slides will be provided shortly before the event. Once you register, you will receive an email which is your receipt and which includes your instructions for dialing in and logging on. You will also receive an email reminder 24 hours before the webinar.

Register for Live Webinar: $219

Register for Live Webinar Plus Recording Download: $329

Register for Live Webinar Plus CD (includes shipping and handling): $369

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