CANCELLED: The Different Roles and Responsibilities of 3(21) and 3(38) Fiduciaries

  • 22 Oct 2014
  • 7:30 AM - 9:30 AM
  • Braemar Country Club 4001 Reseda Blvd, Tarzana, CA 91356


Please join us October 22nd for a lively discussion on The Different Roles and Responsibilities of 3(21) and 3(38) Retirement Plan Fiduciaries.

Plan sponsors throughout the U.S. are considering a variety of changes to their retirement plans including alternative fiduciary relationships.

We'll explore:
  • differences between 3(21) fiduciary and 3(38) discretionary investment advisors
  • requirements, roles, responsibilities, contract provisions, and fiduciary protections
  • legal and practical considerations for plan providers to consider when exploring these different types of fiduciary services

About Our Presenters:

Mark A. Davis is a Senior Vice President, financial advisor with CAPTRUST based in Los Angeles. Mark provides investment advisory services to fiduciaries of qualified and nonqualified retirement plans all across the United States. Well-known as an industry expert, Mark is frequently quoted in national media publications and is a regular speaker at industry conferences and plan sponsor forums. He has recently worked with members of the U.S. Senate, House of Representatives, and the Government Accountability Office on a variety of retirement plan issues related to plan sponsors and plan participants. Mark currently serves on the Board of Directors of the American Society of Pension Professionals and Actuaries (ASPPA) and is a founding member of the Leadership Committee of the National Association of Plan Advisors (NAPA). He serves on the Advisory Board of the John Marshall School of Law Center for Tax Law and Employee Benefits in Chicago. He earned a Bachelor of Arts degree in Dramatic Arts and English from Amherst College and a MFA in Acting from the University of Minnesota. Mark holds the Qualified Plan Financial Consultant (QPFC) professional designation.

Mark J. Grushkin is a Los Angeles based ERISA attorney with Little Mendelson who has over 30 years of legal experience providing clients with employee benefit services involving mergers and acquisitions, retirement plans, health and welfare plans, and litigation. He has been involved in a wide variety of employee benefits matters, including pension, employee stock ownership, fringe benefits plans, deferred compensation, severance plans, and supplemental executive retirement arrangements. Mark has extensive experience representing employers in disputes and audits with the IRS, DOL, and other government agencies. He has represented large public corporations, small and mid-market companies, healthcare systems, nonprofit organizations, corporate trustees, and single-employer plans. Mark has authored articles on new benefits legislation, cafeteria plans, COBRA , tax laws and deferred compensation plans.  He also has been a speaker and panelist addressing numerous groups on employee benefits, including the Practicing Law Institute, State Bar of California, California CPA Society, American Society of Pension Actuaries, and the University of Southern California Tax Institute. Mark earned his B.S., from California State University, Los Angeles and his J.D., from Southwestern University School of Law, and he was named, The Best Lawyers in America©, 2012-2015.

© WP&BC Los Angeles Chapter

Powered by Wild Apricot. Try our all-in-one platform for easy membership management