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Playing Well With Others in the Retirement Plan M&A Sandbox

  • Tuesday, November 05, 2019
  • 11:30 AM - 1:15 PM
  • Capital Group, 6455 Irvine Center Drive, Irvine, CA
  • 3


  • You may register additional employees of your company at the member rate. Please use the guest registration field below.

Registration is closed

Playing Well with Others in the

Retirement Plan M&A Sandbox

Meet us at American Funds Campus, 6455 Irvine Center Dr, Irvine

Doors open at 11:30 a.m. for check-in, lunch and networking.

  Our Presentation:

A Merger, Acquisition or Divestiture can be an exciting but stressful time for a business.  It also means there are numerous important decisions to be made and just as many voices involved.  Today’s session will feature a discussion with Rick Unser, a Workplace Retirement Plan Consultant with Lockton Retirement Services to help employers and their retirement service partners understand:

  • Overview of M&A transaction types and the impact on retirement plans
  • How buying a house can help you understand the different aspects of M&A
  • Strategies to effectively communicate with and leverage the strengths of different retirement service partners
  • Ways to solve tricky issues with loans, vesting, balance transfers and more
  • How to avoid common mistakes in retirement plan M&A
  • Why Private Equity is different but similar
  • Sniffing out controlled or affiliated service groups

 Our speaker: Rick Unser, Lockton

  • Retirement Plan Consultant with over twenty years of experience
  • Member of the Executive Committee of Lockton Retirement Services
  • Works with employers who have several hundred to several thousand employees
  • Been involved in over one hundred M&A transactions
  • Host of the “401(k) Fridays” Podcast

  This Seminar will be held in the offices of The Capital Group.  Check-in is from 11:30 a.m.  Due to the special nature of this program, we cannot accept walk-ins the day of the event.

Who Should Attend:

Financial Advisors who want to know more about issues and solutions to retirement plans that are involved in mergers and acquisitions

Plan Fiduciaries who want to know how to avoid the pitfalls in handling their retirement plans when going through a merger or acquisition

Service Providers third-party administrators, and auditors who want to be updated on merger and acquisition issues.

Consultants who want to be updated on merger and acquisition issues and solutions

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 AIF (pending)
  • 2 CECs for ERPA 
  • 2 CPEs for ASPPA certifications
  • 2 CECs for NIPA certifications
  • 2 hours for California CPAs 
  • 1.75 hours of California MCLE
  • 2 hours for Certified Financial Planners (pending)

Due to the special nature of this program, we cannot accept walk-ins the day of the event.

 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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