The [Hitchhiker’s] DOL’s Guide to [the Galaxy] Missing Participants

  • Thursday, May 20, 2021
  • 8:00 AM - 9:45 AM
  • Online

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The Hitchhiker's DOL's Guide to the Galaxy Missing Participants

Meet us Online

Thursday, May 20, 2021

8:00 am to 9:45 am

  Our Presentation:

For some years now, the Department of Labor has devoted considerable attention on audits as to whether retirement plans were keeping track of participants who have separated from service. But until now, there was limited direction from the DOL about what it expected fiduciaries to do to meet this obligation. In January, the DOL issued new guidance on this issue. Spiro Preovolos, CEO and President of PenChecks, Inc. and Evan Giller, Of Counsel with Boutwell Fay, LLC, will examine this guidance and discuss:

  • What does the DOL view as the “best practices” that retirement plans should follow to avoid losing contact with plan participants and to find them if contact is lost?
  • What are the practical implications of this guidance and what are some steps that fiduciaries can take to meet this requirement?
  • What other guidance did the DOL release regarding missing participants in terminating retirement plans?

Our speakers:

Evan Giller: 

Evan Giller is Of Counsel to Boutwell Fay, LLP and is located in New York City. He has worked in the field of employee benefits law and ERISA for over 30 years, representing a broad range of clients and specializing in the retirement and deferred compensation plans of tax-exempt organizations and governmental employers. He has extensive experience advising employers and plan service providers on a wide range of retirement plan issues, including plan design, plan documents, operational issues, plan corrections, and fiduciary responsibility, and has particular expertise regarding 403(b) and 457 plans. He also has worked on issues relating to the design and regulation of annuity products. Prior to joining Boutwell Fay in 2013, Evan was a founding member of the firm of Giller & Calhoun.

Spiro Preovolos:

Since joining PenChecks in 2002, Spiro has held several different positions, including Director of Operations, Director of Sales and Marketing, and Vice President of Strategic Development. This unique combination of hands-on operational and marketing experience has given Spiro a broad foundation for his new role as the company’s President and CEO. Spiro is focused on cultivating strategic partnerships and initiating the development of new products and services to keep PenChecks at the forefront of the ever-changing retirement plan industry. Prior to joining PenChecks, Spiro worked in Los Angeles, CA as a Special Agent and Financial Representative with Northwestern Mutual Financial Network where he held Life, Health & Disability Insurance licenses and Series 6 & 63 designations. Spiro holds a Bachelor of Arts Degree in Philosophy from the University of Southern California. Spiro lives in sunny San Diego, California with his wife, son, daughter, and 8-year Maltese-Yorkie mix dog. Together they enjoy fostering rescue puppies until they get adopted into their forever homes.

Continuing Education:

  • 2 CE for AIF (pending)
  • 2 CECs for ERPA (pending)
  • 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)
  • 2 CE for CRPS 
  • 2 CE for CEBS


 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.

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