Technical Lunch Forum
RETIREMENT PLAN POLICY STATEMENTS
Wednesday, February 28, 2018 11:30 am - 1 pm
A Catered Lunch will be provided.
Offices of Precept Insurance Solutions, 130 Theory - #200, Irvine, CA 92617
Please join us for our next Technical Lunch Forum.
An in-depth review of the Best Fiduciary Protection Policies for Plan documents
- · What documented policies are important for fiduciary protection of 401(k) and 403(b) plans?
- · How do these policies protect the plan fiduciaries
- · What should be in these policies?
- · Is there a risk to having written policy statements?
Our Speaker:
Stuart Hack, CLU, JD is a Partner with Sunlin Consulting LLC and Vice President of Sunlin Consulting Investment Advisory Services LLC. He advises qualified plan sponsors and record keepers on fiduciary liability exposure management. He designs, implements and monitors fiduciary best-practices programs, including fully documented ERISA 404(a)(5), 404(c) and 408(b)(2) compliance solutions. Stuart also designs and manages ERISA 3(38) fiduciary solutions that record keepers offer to participant-directed defined contribution plan sponsors and financial advisors. His experience includes over 30 years as CEO of a benefits consulting and registered investment advisory firm and the co-founder of a daily recordkeeping service provider. He currently serves on the Board and was past President of the Orange County chapter of the Western Pension & Benefits Council.
Who Should Attend:
Financial Advisors who want to understand the role of written policy statements for fiduciary protection for plan sponsors and for effective plan operation
Plan Fiduciaries who want to maximize their fiduciary liability protection and plan effectiveness
Service Providers third-party administrators and accountants who want to know more about the importance of written policy statements for plan sponsiors.
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 Ed:
1 CE for AIF Certification (pending)
1 CE for ASPPA certifications
1 CEC for NIPA certifications
1 CPE for CEBS
1 hours MCLE for California attorneys
1 hours for California CPAs
1 hours for Certified Financial Planners (pending)
1 hour for ERPA and Enrolled Agents
About our Technical Lunch Forums:
The registration fee includes a box lunch. To register for this or any other upcoming event, visit our website at www.WPBCOrangeCounty.org and then select Events from the menu.
This Technical Lunch Forum will be held in the offices of Precept Advisory Group. Check-in is open from 11:30 to 11:45 a.m. Please arrive on time, as our program will begin promptly at 11:45 a.m. Due to the special nature of this program, we cannot accept walk-ins the day of the event.
The reservation deadline for this event is Friday, February 23, 2018.
Thank you to the sponsor of this Technical Lunch Forum:
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 join us for our next Technical Lunch Forum. This in-depth presentation will include:
- · 408b-2 Disclosure by Service Providers to Plan Sponsors
- o What to look for
- o Fiduciary Requirements
- o Actions that must be taken
- · 404a-5 Disclosure to Plan Participants
- o Importance of documented review of record keeper prepared materials
- o Gross/net fee disclosure
- · ERISA Expense Accounts
- · How to document disclosure compliance
- · Fulfilling fiduciary responsibility to periodically review expenses for reasonableness
- · Opportunities to provide added value services
Our speaker will be:
STUART HACK, JD, CLU Sunlin Consulting LLP
Stuart Hack is a partner with Sunlin Consulting LLP and Vice President of Sunlin Consulting Investment Advisory Services LLC. He advises qualified plan sponsors and record keepers on fiduciary liability exposure management. He designs, implements and monitors fiduciary best-practices programs, including fully documented ERISA 404(a)(5), 404(c) and 408(b)(2) compliance solutions. Stuart also designs and manages ERISA 3(38) fiduciary solutions that record keepers offer to participant-directed defined contribution plan sponsors and financial advisors. His experience includes over 30 years as CEO of a benefits consulting and registered investment advisory firm and the co-founder of a daily recordkeeping service provider. He is past president of the Orange County chapter of the Western Pension & Benefits Council, and author of the textbook Retirement Planning for Professionals, published by John Wiley & Sons.
This Technical Lunch Forum will be of particular interest to:
- · Sponsors of 401(k) & 403(b) plans who want to understand and fulfill their disclosure responsibilities and fiduciary their 408-b-2 liability exposure
- · Plan Fiduciaries who want to gain a better understanding of their disclosure responsibilities
- · Service Providers to 401(k) and 403(b) plans, especially third-party administrators and investment advisers, who want to enhance their ability to provide quality services to their clients.
- · Those who want a clear understanding of ERISA Expense Accounts
About our Technical Lunch Forums:
The registration fee includes a box lunch. To register for this or any other upcoming event, visit our website at www.WPBCOrangeCounty.org and then select Events from the menu.
Please join us for our next Technical Lunch Forum. This in-depth presentation will include:
- · 408b-2 Disclosure by Service Providers to Plan Sponsors
- o What to look for
- o Fiduciary Requirements
- o Actions that must be taken
- · 404a-5 Disclosure to Plan Participants
- o Importance of documented review of record keeper prepared materials
- o Gross/net fee disclosure
- · ERISA Expense Accounts
- · How to document disclosure compliance
- · Fulfilling fiduciary responsibility to periodically review expenses for reasonableness
- · Opportunities to provide added value services
Our speaker will be:
STUART HACK, JD, CLU Sunlin Consulting LLP
Stuart Hack is a partner with Sunlin Consulting LLP and Vice President of Sunlin Consulting Investment Advisory Services LLC. He advises qualified plan sponsors and record keepers on fiduciary liability exposure management. He designs, implements and monitors fiduciary best-practices programs, including fully documented ERISA 404(a)(5), 404(c) and 408(b)(2) compliance solutions. Stuart also designs and manages ERISA 3(38) fiduciary solutions that record keepers offer to participant-directed defined contribution plan sponsors and financial advisors. His experience includes over 30 years as CEO of a benefits consulting and registered investment advisory firm and the co-founder of a daily recordkeeping service provider. He is past president of the Orange County chapter of the Western Pension & Benefits Council, and author of the textbook Retirement Planning for Professionals, published by John Wiley & Sons.
This Technical Lunch Forum will be of particular interest to:
- · Sponsors of 401(k) & 403(b) plans who want to understand and fulfill their disclosure responsibilities and fiduciary their 408-b-2 liability exposure
- · Plan Fiduciaries who want to gain a better understanding of their disclosure responsibilities
- · Service Providers to 401(k) and 403(b) plans, especially third-party administrators and investment advisers, who want to enhance their ability to provide quality services to their clients.
- · Those who want a clear understanding of ERISA Expense Accounts
About our Technical Lunch Forums:
The registration fee includes a box lunch. To register for this or any other upcoming event, visit our website at www.WPBCOrangeCounty.org and then select Events from the menu.
Please join us for our next Technical Lunch Forum. This in-depth presentation will include:
- · 408b-2 Disclosure by Service Providers to Plan Sponsors
- o What to look for
- o Fiduciary Requirements
- o Actions that must be taken
- · 404a-5 Disclosure to Plan Participants
- o Importance of documented review of record keeper prepared materials
- o Gross/net fee disclosure
- · ERISA Expense Accounts
- · How to document disclosure compliance
- · Fulfilling fiduciary responsibility to periodically review expenses for reasonableness
- · Opportunities to provide added value services
Our speaker will be:
STUART HACK, JD, CLU Sunlin Consulting LLP
Stuart Hack is a partner with Sunlin Consulting LLP and Vice President of Sunlin Consulting Investment Advisory Services LLC. He advises qualified plan sponsors and record keepers on fiduciary liability exposure management. He designs, implements and monitors fiduciary best-practices programs, including fully documented ERISA 404(a)(5), 404(c) and 408(b)(2) compliance solutions. Stuart also designs and manages ERISA 3(38) fiduciary solutions that record keepers offer to participant-directed defined contribution plan sponsors and financial advisors. His experience includes over 30 years as CEO of a benefits consulting and registered investment advisory firm and the co-founder of a daily recordkeeping service provider. He is past president of the Orange County chapter of the Western Pension & Benefits Council, and author of the textbook Retirement Planning for Professionals, published by John Wiley & Sons.
This Technical Lunch Forum will be of particular interest to:
- · Sponsors of 401(k) & 403(b) plans who want to understand and fulfill their disclosure responsibilities and fiduciary their 408-b-2 liability exposure
- · Plan Fiduciaries who want to gain a better understanding of their disclosure responsibilities
- · Service Providers to 401(k) and 403(b) plans, especially third-party administrators and investment advisers, who want to enhance their ability to provide quality services to their clients.
- · Those who want a clear understanding of ERISA Expense Accounts
About our Technical Lunch Forums:
The registration fee includes a box lunch. To register for this or any other upcoming event, visit our website at www.WPBCOrangeCounty.org and then select Events from the menu.
· 408b-2 Disclosure by Service Providers to Plan Sponsors
What to look for
Fiduciary Requirements
Actions that must be taken
· 404a-5 Disclosure to Plan Participants
Importance of documented review of record keeper prepared materials
Gross/net fee disclosure
· ERISA Expense Accounts
· How to document disclosure compliance
· Fulfilling fiduciary responsibility to periodically review expenses for reasonableness
· Opportunities to provide added value services
Friday, March 6, 2015 v11:30 a.m. to 1:00 p.m.
At the offices of Precept Advisory Group, 130 Theory - #200, Irvine, CA 92617
Registration Fee: $25 for Members, $40 for Non-Members
