Speakers: Richard A. Hochman, Esq., APM, McKay Hochman Co., Inc. and Monika A. Templeman, Esq., Director of EP Examinations, Internal Revenue Service
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In early 2010, the IRS initiated its first ever all Internet based examination of the "health of 401(k) plans", better known as plan compliance. The IRS sent the questionnaire to 1,200 employers who theoretically sponsored 401(k) plans in 2008. The questionnaire asked 69 questions, many with sub-parts, regarding various technical issues in the operation of their plans. In February 2012, the IRS issued an Interim Report of their findings with the promise of a more in-depth Final Report. That Final Report has now been issued and goes into further detail about plan operation and compliance based on the size of the plan. It also addresses how the IRS is going to make use of the results going forward.
Attendee Takeaways:
• How plans of various sizes operate;
• The potential problems the IRS found, such as failure to provide Top-Heavy minimum contributions;
• How the IRS' improved understanding will help it to optimize education and outreach, guidance, voluntary correction programs, and enforcement activities;
• Development of new compliance programs, including Learn, Educate, Self-correct, and Enforce (LESE) to address specific areas of the 401(k) universe where potential areas of noncompliance have been identified.
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REGISTRATION
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Recorded Webcast
(registration deadline: 06/20/14)
| Individual Viewer | Additional Viewers |
| ASPPA Member: $110 | ASPPA Member: $40 |
| Non-member: $180 | Non-member: $65 |
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CONTINUING EDUCATION INFORMATION
ASPPA Members
The webcast is designed to offer registrants 2 ASPPA CE credits.
Enrolled Actuaries
The webcast is designed to offer registrants 2 JBEA CE credits for Enrolled Actuaries. The final decision as to the number and type of JBEA credits rests solely with the Joint Board for the Enrollment of Actuaries.
Enrolled Retirement Plan Agent (ERPA)
The webcast is designed to offer registrants 2 ERPA CE credits.
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GENERAL INFORMATION
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ABOUT THE SPEAKERS
Richard A. Hochman, Esq., APM
Rich has an extensive background in the tax and employee benefits field. In his role as president at McKay Hochman, Rich supervises a team of attorneys and consultants in the design, drafting and support of pre-approved and custom documents for financial institutions, brokerage firms, law and accounting firms, pension consultants and plan sponsors. As a member of the firm’s training faculty, he regularly participates as an instructor in continuing education programs sponsored by the firm, including both regional and in-house programs and has spoken at a variety of pension industry forums such as Enrolled Actuaries (EA), American Society of Pension Professionals and Actuaries, (ASPPA), National Institute of Pension Administrators (NIPA), trust schools and numerous state banking associations. Rich was recognized with ASPPA’s Educator of the Year Award for 2012, joining a very select group of distinguished retirement industry educators.
In addition, Rich has provided written commentary and provided testimony on regulatory issues and matters relating to qualified retirement plans on behalf of clients.
Rich has held numerous volunteer positions with the American Society of Pension Professionals and Actuaries (ASPPA), a leading industry trade association. He currently serves as Vice-President and member of the Executive Committee.
During his benefits career, Rich has also published tax analysis for use by attorneys, accountants and consultants on a broad range of topics. He earned a BA degree in Political Science, a BS degree in Business Administration, an MBA and a JD degree from the State University of New York at Buffalo.
Monika A. Templeman, Esq.
Monika is the director of Employee Plans Examinations and is responsible for EP retirement plan compliance enforcement programs nationwide. She also serves as the Executive Sponsor for the TE/GE International Initiative and for the TE/GE cross-functional Promoter Investigations corporate approach to deter and stop abusive schemes. In addition, Monika serves as the IRS Executive Champion for Inter-agency Collaboration and for the Enrolled Retirement Plan Agent (ERPA) Program.
Monika has over 20 years of experience in IRS management positions, including the EP Area Manager, Great Lakes and Acting Director EP Rulings and Agreements. Monika is an attorney, former Corporate Counsel, former Law Professor and a member of the CA Bar.
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