This course covers the important roles of fiduciaries in the qualified plan area, and their bonding requirements. The course then explores prohibited transactions, investment objectives and investment policy statements, and the asset allocation process for employer-sponsored retirement plans.

Author: Michael B. Cates, MS, CFP®

Michael B. Cates, MS, CFP® joined the College in 1986, and is the professor for the Income Tax Planning course of the CFP Certification Professional Education Program. He received his CFP® certification in 1995, and completed the College’s Master of Science degree program in 1997. Mike is also the lead professor for the introductory Income Tax Planning course in the College’s master’s program. In addition to his responsibilities at the College, Mike also maintains a tax planning and preparation firm in Aurora, Colorado. You can reach Mike at mike.cates@cffp.edu.

Complexity Level: Intermediate