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New Product Strategies

May 5, 2011

ALI-ABA Collective Trust Funds Current Banking SEC and ERISA Regulatory and Compliance Issues Conference

Sutherland Partner Stephen E. Roth is speaking at ALI-ABA Collective Trust Funds Current Banking SEC and ERISA Regulatory and Compliance Issues Conference on May 5, 2011, in Philadelphia, Pennsylvania. Stephen will present "New Product Strategies." The session will discuss new product guarantees, alternative investments, and commodities.

Collective Trust Funds (CTFs) are rapidly becoming the investment vehicle of choice for many 401(k) plan sponsors. CTFs are only available to tax-exempt 401(k), pension, profit-sharing, and governmental retirement plans. Now that these funds offer daily valuation and investment direction, combined with the potential for lower costs, many 401(k) plan sponsors have moved toward CTFs instead of registered mutual funds. Although CTFs have been around since the early 20th century, recent regulatory and market developments have created new business opportunities and, at the same time, legal challenges.

Professionals in the field today and senior regulatory officials will discuss and analyze:

  • The regulatory framework applicable to Collective Trust Funds
  • Marketplace developments
  • Implications of the trend toward Collective Trust Funds for third party advisers
  • The impact of the Dodd-Frank Act
  • Marketing and distribution issues 

For more information or to register for this event, please click here.

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