The Business Forum, Inc.

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Does Adhering to 404(c) Eliminate Personal Liability for Fiduciaries?

Sponsor: BTA Advisory Group 

Los Angeles, California - Thursday, April 19th, 2001
Los Angeles Marriott Hotel
333 South Figueroa Street, Los Angeles, California

RESERVATION REQUIRED - Luncheon Meeting - 11:45am until 1:30pm

As 401(k) plans increase in popularity, most companies and plan committees are under the mistaken belief that ERISA Sec 404(c) is a safe harbor because the participants are responsible for their own investment choices. Unfortunately, certain important responsibilities and potential liabilities cannot be transferred.

The following are only some examples of lawsuits involving 401(k) plans, the company sponsor and the fiduciaries:

  1. Allowing the vendor to charge excessive management fees – Judgment $124,000
  2. Breach of fiduciary duty to disclose important financial information about the investment choices – Judgment $250,000
  3. Failure to divest of an underperforming asset – Judgment $400,000
  4. Failure to monitor investment manager activity – Judgment $858,000

BTA Advisory Group has been providing company sponsors with timely and pertinent information regarding the changing landscape of 401(k) for over 10 years. With over $250,000,000 in 401(k) assets under management, BTA’s insights and comments may help you and your fiduciary team avoid the BIG MISTAKE.

This luncheon is a must for Financial Officers as well as Human Resources and Benefits professionals.  As with all Business Forum Luncheons there is no cost nor any liability whatsoever incurred by those attending.

Registration Form:

Your Name:
Your Title:
Your Company:
Your email:
Your Address:
Your City, State & Zip Code:
Your Phone:
Your Fax:
No. of Employees:
When & Where:  April 19th, 2001 - Los Angeles Marriott Hotel  



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The Business Forum, Inc.

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