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Fiduciary Best Practices – Will Your Plan Hold Up to a Compliance Review or Audit?

  • Thursday, February 16, 2017
  • 7:30 AM - 10:00 AM
  • Andrei's Restaurant, 2607 Main Street, Irvine
  • 0


  • Early Bird pricing
  • Early Bird pricing

Registration is closed

Fiduciary Best Practices 

Will Your Plan Hold Up to a 

Compliance Review or Audit?

  Our Presentation:

Rick Unser will share information he collected from interviews with fifty industry leaders

O   Five fiduciary best practices you can relay to your clients to enhance their fiduciary protection in 2017 and beyond!

O   Most important retirement plan topics of interest to employers who sponsor qualified retirement plans

Phil Koehler will identify ERISA standards of fiduciary conduct and how to determine whether they are being met, including:

O   How to prepare a plan for the level of scrutiny experienced during DOL audits

O   The internal controls and processes that DOL will look for, including proof that they are in place and operative

  About Our Speakers:

Rick Unser, ERISA Risk Management Consultant, Lockton Companies, Host, 401(k) Fridays Podcast. Rick has been with Lockton since 2007 where he serves as a qualified retirement plan consultant to the mid-market companies. Rick works with investment committees to develop comprehensive programs to identify, manage and mitigate their ERISA related risk. Rick received his degree from the University of Virginia.

Philip J. Koehler, Esq Founder and CEO of the Law Offices of Philip J. Koehler APC and ERISA Fiduciary Administrators LLC, Newport Beach. He is a veteran ERISA attorney and fiduciary expert with a career that spans 40 years. Phil represents thousands of plan sponsors in the design and operation of their employee benefit and executive compensation and agreements. He completed his undergraduate work at U of Texas, Austin, received an MBA in finance and investment analysis at UCI and a JD from the U of Southern California. Since 2005 he has been a professor of Qualified Pension and Profit Sharing Plans at Chapman University.

Who should attend this program?

    Auditors who want more information about plan sponsor DOL audits, fiduciary exposure issues and needed processes and procedures

    Financial Advisors who want to know more about plan sponsors concerns how to help their plan sponsor manage fiduciary responsibilities and avoid DOL audit exposure

    Plan Fiduciaries who want to know more about how the DOL audits retirement plans, what they are looking for and where exposure occurs

    Record keepers who would like to have more information about plan sponsor concerns

    Service Providers (third-party administrators& consultants) who want the latest information about plan sponsor concerns and DOL audit experiences

    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 Orange 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, February 9.

    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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