Available Until December 31, 2017
Speaker: Sarah Simoneaux, CPC, Founding Partner, SCS
Take this valuable opportunity to review and prepare now for your DC-1 examination. You’ll work with road warrior Sarah Simoneaux who leads DC-1 Boot Camps for some of ASPPA’s largest institutional partners. She’s got her fingers on the pulse and knows exactly what the pain points are for our learners. In just two hours, you’ll find out what are those pain points as well as learn how to be more efficient when preparing for and taking the DC-1 exam.
Available Until December 31, 2017
Speaker: Sarah Simoneaux, CPC, Founding Partner, SCS
Take this valuable opportunity to review and prepare now for your DC-2 examination. You’ll work with road warrior Sarah Simoneaux who leads DC-2 Boot Camps for some of ASPPA’s largest institutional partners. She’s got her fingers on the pulse and knows exactly what the pain points are for our learners. In just two hours, you’ll find out what are those pain points as well as learn how to be more efficient when preparing for and taking the DC-2 exam.
Available Until July 25, 2018
Speaker: Kelsey H. Mayo, J.D., Partner, Poyner Spruill LLP
Qualified retirement plan arrangements are only one aspect of the total retirement package for many key employees. This webcast will explore the different types of non-qualified plans and deferred compensation arrangements for select key employees. Particular focus will be paid to how these plans can dovetail with qualified plan arrangements, unique administration considerations, the special tax rules administrators and sponsors should be aware of, and how to avoid traps for the unwary.
Available Until July 19, 2018
Speaker: Brian Furgala, Esq., CPC, QPA, GrayRobinson, P.A.
The anti-cutback rules of IRC §411(d)(6) are very broad in their application to plan amendments but are riddled with exemptions. Ensuring compliance, particularly in merger and acquisition transactions, is also a challenge for both plan sponsors and practitioners. Defining what benefits are protected is easier said than done. This webcast runs through practical examples of when protection or exemptions arise.
Available Until July 11, 2018
Speaker: Alison J. Cohen, Esq., CPC, Senior Associate, Ferenczy Benefits Law Center LLP
Have you ever seen a car upside down and 30 feet up in a tree and wondered how that could have happened? This webcast will cover qualified plans that ended up in such a precarious position; you’ll shake your head in wonder. The key issue is figuring out how you can begin to fix them. You will learn a practical approach to applying the key principles of EPCRS when the problem doesn’t fit any box.
Available Until June 21, 2018
Speaker: Robert M. Richter, Esq., APM, Vice President, FIS Wealth & Management
There has been an increase in the number of individuals dying with assets in a qualified plan. Improperly handling death distributions can result in additional liability and possible litigation. This webcast will detail the actions plans that must be taken upon the death of a participant. We will begin by focusing on the determination of the proper beneficiary, including best practices for beneficiary designations to avoid potential conflicts. Then we will cover the timing of the distributions along with the proper reporting for tax purposes.
Available Until June 14, 2018
Speaker: James Kais, SVP & Managing Director, Transamerica Retirement Solutions
Small businesses are migrating to Multiple Employer Plans (“MEPS”) and pooled retirement plans at an increasing rate. Why? Employers want less administrative burden, a reduction in fiduciary risk, and buying power from asset pooling. In this webcast we will discuss why many advisers, TPAs, and their clients are choosing to be part of a pooled retirement plan with State Retirement Plans and the Fiduciary Regulations in the backdrop. Join the ASPPA team and Jim Kais of Transamerica for a lively and educational webcast that will also showcase business-building techniques in this area.
Available Until May 24, 2018
Speaker: Ethan E. Kra, FSPA, Principal, Ethan E. Kra Actuarial Services, LLC
Expert witness assignments are exciting and profitable. However, they can also be difficult, controversial, and time-consuming. In this webcast you will learn the keys to success in this area based on the speaker’s experience in expert witness assignments. The most important aspects of being an expert witness will be covered, including preparation, depositions, and testimony. Some interesting and challenging cases will be discussed, such as the role and qualifications of the expert along with the latest revisions to Actuarial Standard of Practice 17. Dr. Kra will illustrate the perils and traps that even the most experienced actuarial practitioner may run into when being deposed or cross-examined in a legal proceeding. If you would like to know what you might expect from testifying on actuarial issues in a legal proceeding, this thought-provoking webcast is not to be missed!
Available Until May 4, 2018
Speaker: David Schultz, JD, APM, FIS Relius
Applying eligibility conditions correctly is an important element of proper (and nondiscriminatory) plan administration, yet many plan administrators struggle with understanding how the rules apply to rehired employees. Questions about past service, entry dates, and those pesky break-in-service rules can confuse even the most experienced plan administrator. Add early-entry conditions to the mix, and rehired employees can give rise to costly mistakes. This webcast will help to eliminate the confusion around properly applying eligibility conditions to rehired employees.
Available Until May 3, 2018
Speaker: Rod Stortenbecker, CPC, APA, FLMI, Director of Compliance, Lincoln Financial Group
This webcast will provide an overview of both 457(b) governmental and 457(b) top-hat plans. It will include an in-depth analysis of the differences between these two plans and how these plans work in conjunction with other retirement plans. We will discuss 457(b)-eligible organizations, employee eligibility, rollovers versus plan-to-plan transfers, contribution types and limits, and the three-year catch-up provision.
Available Until April 18, 2018
Speaker: S. Derrin Watson, Esq., APM
It is a time of change for Forms 5500, 5500-SF, and 5500-EZ. This webcast will examine the changes to Form 5500 for the 2016 plan year. We will also see what we learn from this year’s failed attempt to expand the 5500 compliance questions. And we will gaze into the ASPPA crystal ball to take a look at the next generation of Form 5500, the mammoth changes the government has requested, what the prospects for those changes are, and what employers can learn today from what the government wants to know tomorrow.
Available Until April 13, 2018
Speaker: Ernie Guerriero, CLU®, ChFC®, CEBS®, CPCU®, CPC, CMS,AIF®, RICP®, CPFA, Director of Technical Education, American Retirement Association
There is little doubt that ethical standards across the financial services industry have been called into significant question in all areas. There is also little doubt that embedding ethical cultures within firms is a difficult task. While regulation has a role to play in deterring unethical conduct and promoting appropriate behavior, ultimate responsibility lies with the adviser. Attend this timely and informative webcast to learn what you need to do to ensure your ethical and fiduciary standards are above reproach.
Ethics CE Credits
Available Until April 12, 2018
Speaker: Michael B. Preston, FSPA, President, Preston Actuarial Services, Inc.; and Jeffrey D. Wadle, MSPA, Consulting Actuary, Greenspan & Associates
This webcast is for those who want to understand the limitations on deductions when contributions are made to both a defined contribution and a defined benefit plan. We will provide an in-depth review of the limitations imposed by IRC Section 404(a)(7). Special attention will be given to strategies which: a) minimize unwelcome reductions in deductible contributions; b) insulate plan sponsors from IRC Section 4972 excise taxes; and c) use special IRC Section 404(a)(7) carryover rules. Attendees will be able to download an Excel spreadsheet that they can use to document and confirm how IRC Section 404(a)(7) applies in many circumstances.
Available Until April 6, 2018
Speaker: Ilene H. Ferenczy, Esq., CPC, APA, Managing Partner, Ferenczy Benefits Law Center LLP
Are you still noodling about whether to perform 3(16) administrative services for your clients? Are you worried that the liability will be gigantic? Are you wondering, on the other hand, if you are missing a great opportunity? And, why does it seem like so much of what other 3(16) administrators do is so little? Join Ilene Ferenczy for an updated look at 3(16) administration: the pros, the cons, the considerations, the risks, and the rewards.
Available Until April 4, 2018
Speaker: William C. Grossman, ERPA, QPA
There are many steps that retirement plan professionals must take when a defined contribution plan is terminating. In this webcast we will review major items of concern, including but not limited to communicating to the participants, plan documentation and plan amendments, vesting and forfeitures, final year testing and correction, unresponsive or missing participants, whether to file for a determination letter, the 401(k) successor plan rules, dealing with possible sham terminations, and partial plan terminations.
Available Until March 21, 2018
Speaker: Heather Bader-Abrigo, Counsel, Drinker Biddle & Reath LLP
Our industry is constantly evolving and we know changes are coming. This is particularly true as it applies to the complex fiduciary rules that apply to retirement plans. Furthermore, the Department of Labor is asking about fiduciary training with respect to those who have access to plan assets. Are you prepared? The fiduciary rules that apply to plan sponsors, plan administrator, trustees, and others who have access to plan assets can be daunting and differ. This webcast will help you decipher the rules and what can be done to avoid personal liability.
Available Until March 14, 2018
Speaker: James E. Holland, Jr., FSPA, FCA, MAAA, ASA, EA, Chief Research Actuary, Cheiron, Inc.
This webcast will be a deeper dive into this topic that Jim presented at the 2016 Actuarial Symposium. It will focus on compensation for different business types and structures. After attending you will be able to describe the various types of compensation and how they can be used for retirement plan purposes.
Available Until February 15, 2018
Speaker: Robert M. Kaplan, CFP, CPC, QPA, APA, VP and National Training Consultant, Voya Financial
The IRS indicates that one of the most common errors they find during audits is how compensation is applied when administering a retirement plan. This interactive session will not only review the basic definitions that are acceptable, but also those more advanced concepts (such as exclusions, fringe benefits, and severance pay) that provide challenges for administration. Is your client providing you with the data that you need to run the required tests? After attending this webcast, you will have a better understanding of what details of compensation you need and more importantly – why.
Available Until January 11, 2018
Speaker: Richard S. Phillips, AIF, ERPA, CPC, QPA, QKA, President and CEO, ERISA Consultants, Inc.
Where there are opportunities there are also challenges. Section 410(b) is the gateway to creating custom plan designs to achieve multiple objectives but is fraught with challenges. In this webcast we will explore the opportunities of using multiple plans to achieve client specific objectives, and dive into the details to ensure the plans satisfy coverage before proceeding to non-discrimination testing.
Available Until December 14, 2017
Speakers: Lisa Vachalek, Social Media Manager, American Century Investments, Sheri Fitts, CEO and Founder, ShoeFitts Marketing; and Jeffrey N. Tomaneng, CFP, Lincoln Investments
This webcast will provide the latest research on how the financial industry is successfully navigating compliance issues regarding social media. 403(b) advisers and other financial industry professionals who want to “socialize” their business will learn best practices and gain a new perspective on the possibilities of working in the digital age.