Seward & Kissel has created this ERISA Guidebook (Guidebook) with the aim of familiarizing investment managers with the basic rules and requirements of the Employee Retirement Income Security Act of 1974, as amended (ERISA). Managing assets subject to ERISA requires compliance with unique and often non-intuitive regulatory provisions. This Guidebook is intended to provide investment managers with a basic understanding of these provisions before accepting ERISA fiduciary status and a reference guide should they choose to manage ERISA plan assets. This Guidebook should not be used as an investment manager’s ERISA compliance procedures. All procedures must be tailored to the reflect the investment manager’s business, investment strategy and client base.
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