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Recognizing and Avoiding Pitfalls When Changing Record keepers

  • Thursday, November 17, 2016
  • 7:30 AM - 10:00 AM
  • Andrei's Restaurant, 2607 Main Street, Irvine
  • 1


  • Early Bird pricing
  • Early Bird pricing

Registration is closed

Recognizing and Avoiding Pitfalls When Changing Record keepers

Our Presentation:

The WPBC Orange County Chapter presents a panel of experts who will each speak from their perspectives:  Plan Auditor, Record keeper and Financial Advisor, all leaders in their respective areas.

The panel will be moderated by an ERISA attorney.  Each participant will address the pitfalls they have encountered when changing recordkeepers and how to avoid them. 

Specific discussion topics include:

  • · How to prepare for the transition
  • · What to look for—both the obvious and the not so obvious
  • · What to avoid at all costs
  • · What alternatives exist
  • · What are the best practices in implementation
  • · How and when decisions are communicated to employees      
  • About Our Panelists:

    Steven Stillman, Asst Vice President, Empower Retirement

    Alex Sanchez, Senior Audit Manager, KSJG, CPA

    Douglas Bermudez, Senior Vice President – Investment Officer, Wells Fargo Advisors

    Our Moderator:

    Kathleen Bass, JD,  Employee Benefits and ERISA, Boutwell Fay, LLC

Who should attend this program?

    Financial Advisors who want to know more about what to expect and how to be of best service when their clients agree to change record keepers.

    Plan Fiduciaries who want to know more about liability risks when a record keeper conversion occurs. Record keepers who would like to get the perspectives of the other parties involved in a conversion

    Service Providers (third-party administrators, , auditors & consultants) who want to hear what their peers are experiencing  and know more about issues that may arise in changing record keepers.

    ERISA attorneys who are looking for a deeper dive into plan conversions.

    All Benefits Professionals who are interested in participating in a high-quality educational forum and want to benefit from the knowledge and experience of other benefits professionals in the range County benefits community.

     Continuing Education: 
    2 CE for ASPPA certifications
    2 CEC for NIPA certifications
    2 CPE for CEBS
    1.75 hours MCLE for California attorneys
    2 hours for California CPAs
    2 hours for Certified Financial Planners
    2 hour for ERPA and Enrolled Agents

    Doors open at 7:30 a.m. for check-in, breakfast and networking.  Our program will begin at 8:00 a.m. and this program will end at approximately 10:00 a.m.  The registration fee includes a full breakfast buffet and hosted valet parking.

    The reservation deadline for this event is Thursday, November 10.

    WP&BC Members can bring a guest for free!  This is a wonderful opportunity to introduce your peers and colleagues to our Chapter.  Remember, your guest should be a first-time visitor and potential member.   Look for the free guest offer when you register online

    The statements and materials presented at WP&BC Orange County Chapter events are solely the opinions of the speakers and do not represent the opinions or positions of WP&BC Orange County Chapter. In addition, WP&BC Orange County Chapter assumes no responsibility for the content or accuracy of the statements and materials presented by speakers at WP&BC Orange County Chapter events.

    Please feel free to reach out to WP&BC with any questions.

    Direct Questions To:

    Christine Stewart,
    Chapter Administrator


    (949) 407-9128


    Orange County Chapter
    PO Box 6111
    Garden Grove, CA 92846

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