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EBA-LA Webinar
March 13, 2012
Money in 401(k) Plans: Is
Everything Old New Again?
with Mark Davis,
Senior Vice President, CapTrust Financial Advisors
The industry is full of
different ways to help participants manage their account balances.
This session will discuss current hot issues like:
· How do Managed
Accounts effect 404(c)?
· What are the
differences between 3(38) and 3(21) fiduciary advice arrangements?
· Should plans have
smaller menus, back to the days of “Fund A, Fund B & Fund C”?
Mark Davis joined
CAPTRUST in 2009 after an 18-year career in the defined contribution
industry. Mark focuses on providing investment advisory services to
fiduciaries of corporate retirement plans. Mark is frequently quoted in
national media and regularly speaks at events on retirement, investment
and educational issues. Mark also recently testified before both the
House Ways & Means and the House Education and Labor Committees. He is
on the Board of Directors of ASPPA, the American Society of Pension
Professionals and Actuaries and is on the founding Committee of NAIRPA,
the National Association of Independent Retirement Plan Advisors. He was
recently honored with the opportunity to join the Advisory Board of the
John Marshall School of Law in Chicago Center for Tax Law and Employee
Benefits. For the last three years 401kWire has named him one of “The
100 Most Influential People in Defined Contribution”. Earlier in his
career Mark was with Fidelity, Schwab, and GE Capital. Mark lives in
Thousand Oaks, CA with his wife Tricia and their daughters.
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Past Webinars:
April 26, 2011
Click here to listen to presentation
Click here to view slide presentation
Participant Fee Disclosure – Ready or
Not, Here It Comes
with Craig Hoffman,
ASPPA General Counsel/Regulatory Affairs
There continues to
be rapid change in expectations for fiduciaries of participant
directed plans. How should menu’s be built? What kinds of choices?
The DOL is being particularly proactive with regard to Target Date
Funds and fees. This session will go over the key issues in play
today and will address the kinds of questions fiduciaries need to be
asking and procedures they need to be following in today’s environment.
Craig Hoffman of
Jacksonville, FL, is the General Counsel and Director of Regulatory
Affairs for the American Society of Pension Professionals and Actuaries
(“ASPPA”). He previously served ASPPA as President, Co-Chair of the
Government Affairs Committee and Co-Chair of the Political Action
Committee. Prior to joining ASPPA, Craig served as General Counsel for
SunGard Relius. Mr. Hoffman was an expert speaker at the National Summit
on Retirement Savings, served as a charter member of the first IRS
Advisory Committee on Tax Exempt and Governmental Entities, was the
recipient of the National Institute of Pension Administrators’ Lifetime
Achievement Award and is a Fellow in the American College of Employee
Benefits Counsel. Mr. Hoffman is a frequent speaker at industry
meetings and serves on the editorial boards of several pension journals.
Sponsored by:
January 20, 2011
Click here to listen to presentation
Click here to view slide presentation
Current Issues for
Investment Fiduciaries of Participant Directed Plans
with Mark A. Davis,
QPFC,
Senior Vice President, CAPTRUST Financial Advisors
There continues to
be rapid change in expectations for fiduciaries of participant
directed plans. How should menu’s be built? What kinds of choices?
The DOL is being particularly proactive with regard to Target Date
Funds and fees. This session will go over the key issues in play
today and will address the kinds of questions fiduciaries need to be
asking and procedures they need to be following in today’s environment.
Mark Davis joined
CAPTRUST in 2009 after an 18-year career in the defined contribution
industry. Mark focuses on providing investment advisory services to
fiduciaries of corporate retirement plans. Mark is frequently quoted in
national media and regularly speaks at events on retirement, investment
and educational issues. Mark also recently testified before both the
House Ways & Means and the House Education and Labor Committees. He is
on the Board of Directors of ASPPA, the American Society of Pension
Professionals and Actuaries and is on the founding Committee of NAIRPA,
the National Association of Independent Retirement Plan Advisors. He was
recently honored with the opportunity to join the Advisory Board of the
John Marshall School of Law in Chicago Center for Tax Law and Employee
Benefits. For the last three years 401kWire has named him one of “The
100 Most Influential People in Defined Contribution”. Earlier in his
career Mark was with Fidelity, Schwab, and GE Capital. Mark lives in
Thousand Oaks, CA with his wife Tricia and their daughters.
November 30,
2010 12:00pm - 1:00pm
Click here to listen to presentation
Healthcare Reform Law, what you need to
know from the IRS
with Russ Weinheimer,
Internal Revenue Service
August 10, 2010 12:00pm - 1:00pm
Click here to for powerpoint presentation
Health Care Reform -
Regulatory Update
with Kevin Knopf,
Office of Benefits Tax Counsel, Office of Tax Policy, U.S.
Department of the Treasury
The Patient Protection and
Affordable Care Act (PPACA) has created a new world for employers and
the health plans that they sponsor for their employees. The three
primary agencies responsible for regulating and enforcing PPACA -
which include the U.S. Department of the Treasury - have recently
issued several regulations on the application of certain PPACA
provisions. Kevin Knopf, Office of Benefits Tax Counsel, Office of
Tax Policy, U.S. Department of the Treasury, will discuss the recent
regulations.
How and when will health
plans need to be redesigned in order to extend dependent coverage to age
26, eliminate pre-existing conditions and lifetime limits, and impose a
dollar cap on your medical flex account benefits? What does
grandfathering of a health plan mean and what are the implications of
losing grandfathered status? If you are interested in learning about
the regulations that have followed the passage of PPACA, please plan on
joining us for a webinar on these regulations presented by Kevin Knopf,
Office of Benefits Tax Counsel, Office of Tax Policy, U.S. Department of
the Treasury.
Kevin Knopf has
been an Attorney-Adviser in the Office of Tax Policy at the U.S.
Department of the Treasury since 1987. He joined the Office of Benefits
Tax Counsel within the Office of Tax Policy in 1992. His
responsibilities include reviewing legislation and administrative
guidance relating to employer-provided fringe benefits, health care,
employment taxes and HIPAA, including guidance on HRAs and HSAs. Most
recently he has been working with representatives of the Departments of
Labor and Health and Human Services and the IRS on guidance under the
Affordable Care Act.
April 27, 2010
Click here to watch and listen to presentation
Click here for powerpoint presentation only
ERISA Litigation Update
with R. Bradford Huss
of Trucker Huss, APC
This presentation
will provide a review of recent ERISA litigation developments
including 401(k) plan fee cases, indemnification of ESOP fiduciaries,
award of attorney's fees, scrivener's errors in plan documents and
employer stock cases.
R. Bradford Huss
is a member of the San Francisco law firm of Trucker Huss, APC, which
practices exclusively in the fields of ERISA and employee benefits.
Mr. Huss concentrates his practice on qualified pension and profit
sharing plans, ERISA litigation, fiduciary responsibility matters,
Internal Revenue Service audits and Department of Labor
investigations. Mr. Huss has spoken numerous times throughout the
country on qualified plan and fiduciary responsibility matters and has
testified before the United States Senate Finance Committee concerning
retirement security issues. Mr. Huss is a Charter Fellow and member
of the Board of Governors of the American College of Employee Benefits
Counsel. Mr. Huss is a past member of the Board of Directors of the
American Society of Pension Professionals and Actuaries, a former
chair of the Employee Benefits Committee of the Section of Tort Trial
and Insurance Practice of the American Bar Association and a past
President of the San Francisco Chapter of the Western Pension &
Benefits Conference.
February 9, 2010
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Click here for powerpoint presentation only
Mergers & Acquisitions
with Ilene H. Ferenczy
of The Law Offices of Ilene H. Ferenczy as our presenter. The author
of Employee Benefits in Mergers and Acquisitions, Ms. Ferenczy
literally wrote the book on this topic. Because of all the economic
turmoil of the past few years, we may see more of these mergers and
acquisitions as businesses consolidate and/or sell off their
businesses. Ms. Ferenczy is the go-to expert for what considerations
need to be given to employee benefits as a result of these changes in
business ownership
Click here to listen to presentation
Phyllis Borzi Speaks about
DOL Priorities
This presentation
will cover what Phyllis Borzi sees about her priorities for the DOL,
both health & retirement.
BIO:
The U.S. Senate today unanimously confirmed the nomination of attorney
Phyllis Borzi as Assistant Secretary of Labor for the Employee Benefits
Security Administration
Highly
respected by both union and non-union employee benefit plan
practitioners and leaders, Ms. Borzi brings key policy and regulatory
knowledge, practical industry and political experience and strong
leadership and administrative skills to her post.
Ms.
Borzi comes to her new role with an extensive resume of employee benefit
experience including extensive governmental and private practice
experience as well as employee benefit leadership in the American Bar
Association and numerous other professional organizations.
Her private practice employee benefit experience has encompassed
extensive representation of union and other employee benefit plans,
their sponsors, fiduciaries and others.
In addition to
her extensive private sector experience, Ms. Borzi also has extensive
Congressional and other governmental experience. Until January
1995, Ms. Borzi served as pension and employee benefit counsel for the
U.S. House of Representatives, Subcommittee on Labor-Management
Relations of the Committee on Education and Labor. She was on the
Committee staff for 16 years.
In 1993, in
connection with the Presidential Task Force on Health Care Reform,
chaired by former First Lady Hillary Rodham Clinton, Ms. Borzi served on
working groups dealing with insurance reform, workers’ compensation and
employer coverage. She holds a Master of Arts degree in English
from Syracuse University and received her law degree from Catholic
University Law School, where she was editor-in-chief of the law
review.
Ms. Borzi is a
charter member and a former President of the American College of
Employee Benefit Counsel; she served as a member of its Board of
Governors from 2000-2008. Ms. Borzi has served as a member of the
Advisory Board of the BNA Pension & Benefits Reporter (and a former co-chair
of the Board) and a former member of the Advisory Committee of the
Pension Benefit Guaranty Corporation.
Ms. Borzi also
has served on the Advisory Board of the Pension Research Council, The
Wharton School, The University of Pennsylvania and a member of the Board
of the Women’s Institute for a Secure Retirement (WISER).
In 2008, Ms.
Borzi was appointed by the U.S. District Court for the Northern District
of Ohio to serve as a public member of the Administrative Committee for
the Goodyear VEBA, an entity that was judicially established pursuant to
a negotiated settlement agreement between the company, the Steelworkers
and class representatives for the Steelworkers retirees.
Ms. Borzi has
published numerous articles on ERISA, health care law and policy and
retirement security issues and is a frequent speaker on programs
sponsored by legal, professional, business, consumer and state and local
governmental organizations.
An active
member of the American Bar Association throughout her career, Ms. Borzi
surrenders her post as chair of the ABA’s Joint Committee on Employee
Benefits (representing the Health Law Section).
Click here to download the powerpoint
presentation
September 17, 2009 12pm - 1:00pm
Log on, call in
and learn about …
Qualified Domestic Relations Orders –
Plan Administration Before and After the QDRO
This presentation will cover the
following topics
Before: Accept or Reject?
Steven E.
Trytten, Esq., CPA, MBA, is a nationally recognized authority on tax and
estate planning, quoted in financial publications such as the Wall
Street Journal, Forbes Magazine, Bloomberg Wealth Manager, Kiplinger=s
Retirement Report, and the Los Angeles Business Journal. He lectures
across the country (including Heckerling Estate Planning Institute,
ALI-ABA programs, NYU Tax Institute, USC Tax Institute, CEB-UCLA Estate
Planning Institute, Southern California Tax and Estate Planning Forum,
Great Western Tax Institute, Great Southern Tax Institute, AICPA
programs, and NAELA Annual Institute, among others). Recent publications
include his papers for these Institutes, as well as articles for Trust
and Estates Magazine and other publications for professionals engaged in
tax and estate planning.
Steve is one of the
top 1% of lawyers in the U.S. to be included in the "Best Lawyers of
America." He has been voted by his peers in Los Angeles County as a
"Super Lawyer" each year since the “Super Lawyer” process began in 2004,
and was further recognized in 2004 as one of the top 100 vote recipients
county‑wide among all practice areas
Steve is a
"Certified Specialist" in two areas: Taxation Law, and Estate Planning
and Probate Law (certification by the Board of Legal Specialization of
the State Bar of California).
Steve is a Fellow
of the American College of Trust and Estate Counsel (AACTEC) and a
Member of the ACTEC Employee Benefits Committee.
Steve is a member
of the Editorial Advisory Board for Trust & Estates Magazine (Retirement
Benefits Section).
Steve served as
Chair of the California State Bar Taxation Section Committee on Estate
and Gift Taxation from 1996 to 1998. He is an active member of the
American Bar Association, the State Bar of California, the Los Angeles
County Bar Association, the American Institute of Certified Public
Accountants, and the California Society of Certified Public Accountants.
Steve attended the
University of Illinois where he received his undergraduate, MBA, and JD
degrees. He was admitted to the Illinois Bar in 1978 and to the
California Bar in 1983. He became licensed as an Illinois CPA in 1979.
Register NOW!
October 29, 2008 12pm - 1:00pm
Log on, call in
and learn about …
Same Sex Benefits – Domestic Partnerships
The landscape
of rights to employee benefits and resulting tax treatment afforded to
same-sex couples and other “domestic partners” has changed
dramatically over the last few years and seems certain to continue to
evolve. States such as California and even some cities have adopted
“domestic partner” and “civil union” measures designed to insure
treatment of parties to these relationships in the same manner as
spouses. Further complicating the picture, in May 2008, the
California Supreme Court ruled that same-sex couples may no longer be
excluded from civil marriage. The ever-changing rights afforded to
same-sex couples and other “domestic partners” presents a host of
challenging issues to benefit plan sponsors and an absolute morass for
multi-state employers.
This webinar
identifies the benefit challenges caused by current laws regarding
same-sex marriage and offers real world solutions to complex
compliance problems. Our speakers will provide guidance on defining
eligibility and coverage for same-sex couples and will explore
restrictions and opportunities for extending the tax-advantaged
treatment and the protections of retirement plans, health coverage,
and other employee
benefits.
Speakers: Connie
Hiatt has over 20 years experience as an attorney specializing
in employee benefits and executive compensation. Prior to joining
Altman & Cronin, Connie was the head of the employee benefits group at
the law firm of Hanson Bridgett. Connie has diverse experience in the
benefits area including extensive experience in the design and
implementation of pension and profit sharing plans (and related
compliance with the Internal Revenue Code and ERISA), executive
compensation, sales and acquisitions of businesses, public pension
plans, and health and welfare plans. Connie is a frequent speaker and
author on employee benefit matters and executive compensation
matters. Connie is a graduate of the University of North Carolina at
Chapel Hill and received her law degree from the College of William
and Mary.
Tonie L. Bitseff
is an attorney with Thelen LLP in San Francisco. She works in
the firm's Compensation and Benefits department, where she focuses her
practice in the areas of ERISA, pension and welfare benefits,
compensation, and taxation. She provides representation and counsel to
ERISA plans and employers regarding health benefits, welfare benefits,
pension plans, and other employee benefits. Tonie is a graduate of
the University of Washington, and earned law degrees from the Seattle
University School of Law (J.D. magna cum laude) and University of
Washington School of Law (LL.M.) A frequent speaker on employee
benefit topics, Tonie specializes is Welfare, 401(k), defined benefit
and cafeteria plan drafting, implementation and amendment. Her areas
of expertise include WFTRA, domestic partner coverage, and other
issues regarding dependent coverage.
Past Webinars:
February 19, 2008 12pm - 1:30pm
Click here to download the powerpoint
presentation
Major changes on the
horizon for 403(b) plans….. Not-for-profit organizations need to
be ready!
In July of 2007, the first
comprehensive 403(b) regulation changes in over forty years were
passed. This has the potential to considerably increase the
administrative challenges 403(b) plan sponsors face today.
Attend this webinar to learn;
· The
intent of the regulations
· What
additional compliance will apply to 501(c)(3) organizations
· What
the effective dates are for these changes
· How to better
prepare yourself (or your clients) to comply with the new regulations
Bio:
R. Scott Harrison Jr., QKA, AIF,
Regional Sales Dir.
AUL Retirement Services, a OneAmerica Financial Partner
Scott is a Retirement Plan Consultant
specializing in employer sponsored 403(b), 457(b), and 401(k) plans.
Covering the
Southern California region, Scott joined AUL in 1999. Scott is a
16-year veteran of the defined contribution industry, beginning his
career in 1992 with a Third Party Administrator in San Diego,
California. He holds the Qualified 401(k) Administrator (QKA)
designation from the American Society of Pension Professionals &
Actuaries (ASPPA) and the Accredited Investment Fiduciary (AIFâ)
designation from the Center for Fiduciary Studies. His licenses
include the Series 7, Series 63, and Life & Disability. Scott is
a graduate of San Diego State University with a degree in Business
Administration, emphasis in Real Estate.
In addition to being a member of ASPPA, he is a
member of the Western Pension & Benefits Conference (WPBC). Both
the organizations offer programs of continuing education for qualified
plan consultants.
October 4, 2007 12pm - 1:30pm
Click here to download the powerpoint
presentation
Deferred
Compensation Plans and the Final Section 409A Regulations
Mr. Swift will walk
through the important differences between the final regulations issued
under Internal Revenue Code Section 409A and the 409A proposed
regulations. In addition, he will discuss the impact these final
regulations will have on various employer-sponsored compensation
arrangements as well as navigate you through the major exceptions,
corrections and application of Section 409A. Mr. Swift recently
presented on this topic at the 2007 Western Benefits Conference in San
Francisco.
Bio:
Marvin S. Swift, Jr., Esq.
Snell & Wilmer, LLP
Marvin is a
partner at Snell & Wilmer, LLP in the Phoenix Office of the firm’s
Employee Benefits and Executive Compensation Practice Group. Marvin
joined the firm in 1992 and prior to joining the firm he practiced in
the Washington DC office of Morgan, Lewis & Bockius. Marvin’s
practice focuses exclusively on counseling employers (including
tax-exempt employers) in all aspects of employee benefits matters.
His specialty within the Group is in the area of executive
compensation and includes: counseling employers in tax, securities,
and accounting issues related to various equity-based compensation
arrangements; designing and advising employers and executives
regarding executive employment, bonus, severance, change in control,
and consulting agreements; and designing and advising employers
regarding issues related to nonqualified deferred compensation
arrangements, including the impact of Section 409A, ERISA and
securities law considerations.
Mr. Swift is a
graduate of the TC Williams School of Law at the University of
Richmond where he served as the associate editor of the Law Review and
graduated with honors. He is a frequent lecturer and has authored
many articles on employee benefits issues.
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