ERISA compliance, fiduciary responsibilities, and regulatory risk remain critical concerns for ESOP fiduciaries. Attendees will examine the areas that attract the greatest scrutiny, including valuations, participant disclosures, and conflicts of interest, while exploring practical risk-management strategies, documentation best practices, DOL enforcement trends, and emerging case law. Participants will gain actionable guidance for strengthening compliance and reducing fiduciary risk.

Learning objectives:

• Identify key ESOP regulatory/fiduciary obligations under ERISA, including valuation accuracy, adequate disclosures, and conflicts of interest, so fiduciaries can recognize vulnerabilities before a DOL investigations or plaintiff claims.
• Evaluate proactive risk management strategies—including plan audits, documentation best practices, and effective employee communications—that strengthen defenses against litigation and regulatory scrutiny.
• Develop a framework for building a robust ESOP compliance program that incorporates ongoing training, regular legal reviews, and early identification of emerging legal risks, enabling attendees to reduce organizational liability.

Speakers:
José Jara, Counsel, Fox Rothschild
Avery Cnihen, General Counsel/Trustee, SCJ Fiduciary Services
Jeanette Stillwagner, Principal, CliftonLarsonAllen

Please note there is a cost to attend. CE Credits available.