PLANADVISER Webinar Series

Practice Progress

PLANADVISER’s Practice Progress webinar series is designed to help advisers tackle the ongoing challenges of managing their practices, with the goal of improving outcomes for team members, plan sponsor clients and participants alike. Each month, the editors of PLANADVISER will bring together trusted industry experts to discuss practice management, client service, compliance, investments and much more. Join us as we help you move your practice forward.

DEC. 17
2:00 p.m. EST
Have We Learned Anything From So Much ERISA Litigation?
Employee Retirement Income Security Act (ERISA) litigation is everywhere, but decisions in ERISA litigation are nowhere near as prevalent. Most cases that are not dismissed early on often end up in settlements, with no final conclusions being drawn by judges or juries about the ultimate legal merits of the underlying claims. Expert attorneys say this has produced a confusing, and at times contradictory, compliance landscape for retirement plan fiduciaries.

This hour-long, editorial-driven webinar will examine the ERISA litigation landscape, looking beyond the seemingly endless flow of new complaints and settlements to identify where plaintiffs are having genuine legal success, where their claims are falling short, and what lessons can be distilled by retirement plan fiduciaries. As a fiduciary retirement plan adviser, you can’t afford to miss this informative session!
PRESENTERS
Emily Costin
Partner
Alston and Bird
Jamie Fleckner
Partner
Goodwin Procter
R. Bradford Huss
Partner
Trucker Huss
MODERATOR
John Manganaro
Managing Editor, Digital
PLANADVISER
PAST EVENTS
Missed one? No worries. All past webinars are available to watch on demand by checking its corresponding box on the register form.
MAY 28
2:00 p.m. EDT
Best Practices in Managing the New Norm of Remote Advisory Practices: Lessons Learned
Like many sectors of the U.S. economy, the first major effect of the COVID-19 pandemic seen in the advisory industry was a wave of cancellations of in-person meetings and events. Now, that time seems long gone as advisers, along with many of their clients, have shifted to a remote working environment.

Technological tools such as email, video conferencing and webcasting have been around for decades and, in recent years, plan advisers have integrated these tools into their practices. However, now that it’s become clear that the coronavirus pandemic will disrupt business as usual for the foreseeable future, such technologies are getting a real chance to demonstrate their usefulness—and advisers are figuring out how to use them in both practice management settings and for client communication. And, as the adviser community transitions to remote-based work, with new tools, they have to pay attention to the areas of cybersecurity and protecting sensitive information.

Join PLANADVISER for a discussion that reflects on the past eight weeks of this new world. Hear how advisers can succeed in this new environment, from advisers who have always worked remotely and from those who have just recently embraced the practice.
PRESENTERS
Jason Chepenik
Managing Partner
Chepenik Financial
David Griffin
Founder
Atlanta Retirement Partners
MODERATOR
John Manganaro
Managing Editor, Digital
PLANADVISER
JUN. 25
2:00 p.m. EDT
Regulation Best Interest Is Here … Now What?
As the name suggests, the U.S. Securities and Exchange Commission (SEC)’s Regulation Best Interest, or “Reg BI,” establishes an enhanced “best interest” standard of conduct for broker/dealers (B/Ds) and associated personnel when they make a recommendation to a retail customer of any securities transaction or investment strategy involving securities—including recommendations of types of accounts. Tied into the broad rulemaking package is a related clarification and restatement of the SEC’s understanding of the fiduciary duty applying to investment advisers under the Investment Advisers Act, along with a new requirement to distribute customer relationship summary forms.

Simply put, Reg BI changes the fundamental customer loyalty and disclosure obligations placed on advisers and broker/dealers and, as such, coming into compliance with Reg BI is of the utmost importance for firms. Indeed, the SEC has already confirmed it will immediately begin Reg BI compliance reviews of registered firms and representatives, starting on June 30.

Hosted by the editors of PLANADVISER and paneled by attorneys and industry experts, this webinar will provide timely, actionable insights about establishing, maintaining and proving compliance under Reg BI. With the ongoing training of staff about Reg BI being an important part of compliance—a fact confirmed by the SEC—we know this webinar will help firms in their efforts to live up to the SEC’s new expectations.
PRESENTERS
Jason Berkowitz
Chief Legal & Regulatory Affairs Officer
Insured Retirement Institute
David Kaleda
Principal
Groom Law Group, Chartered
MODERATOR
John Manganaro
Managing Editor, Digital
PLANADVISER
JUL. 28
2:00 p.m. EDT
Topics for Committee Discussions
It has been quite a start to the year for your retirement plan sponsor clients. From the ongoing implementation of the SECURE Act to the emergency relief provisions included in the multiple congressional stimulus packages passed in response to the coronavirus pandemic, they have a lot to consider. This editorial-driven webinar will spell out exactly what topics retirement plan committees should be discussing during their next meeting.

Points of discussion will include the following, and more:

  • QDIA and investment menu reviews during the pandemic
  • The implementation of CARES Act hardship and loan provisions (or not)
  •  Timely SECURE Act lifetime income considerations
  • Business stress, cash flow and the suspension of employer matches
  • Effective participation communications
  • Plan compliance when it’s tough
PRESENTERS
Joe Conzelman
Retirement Plan Advisor
Peak Financial Group, a division of HUB International
Laurie Wieder
Vice President
Alliant Wealth Advisors
MODERATOR
John Manganaro
Managing Editor, Digital
PLANADVISER
AUG. 25
2:00 p.m. EDT
Advisers Giving Back / CSR
First launched last September, PLANADVISER’s Advisers Giving Back series has profiled more than a dozen different firms’ efforts to give back and invest in their local, regional and even international communities. Some of the profile subjects are large national firms that have established independent programs and foundations to coordinate their sizable giving efforts. Others, given their smaller footprint, do more localized giving that still has a tremendous impact. Beyond recognizing the work of the generous advisers in our industry, this editorial-driven webinar will provide tips and strategies for launching new charitable giving efforts and creating a workplace culture that embraces corporate social responsibility.

  • Since its founding in 2011, the SageView Foundation has raised more than $1.5 million to help meet the health care and education needs of women and children in crisis and to provide community development micro-loans.
  • Portfolio Evaluations has been involved in charitable activities since its founding. The firm took its giving efforts to the next level in 2013 by creating a dedicated charitable engagement committee that today consists of eight people.
PRESENTERS
Randy Long
Chief Executive Officer
SageView Advisory Group
Attila Toth
Partner and Co-founder
Portfolio Evaluations
MODERATOR
John Manganaro
Managing Editor, Digital
PLANADVISER
SEP. 24
2:00 p.m. EDT
Leveraging Resources and Providers to Support and Grow Your Business
Simply put, in order to be successful in both the short and long run, retirement plan advisers cannot do it alone. Now, more than ever, clients expect a tremendous amount of value for the fees they are paying. Fortunately, advisers have strategic partners on which they can rely, from upstart technology vendors to established recordkeepers. This editorial-driven webinar will focus on helping you get the most value from your strategic relationships, including ways to make your job easier and ways to efficiently and profitably add value to your service offerings.
PRESENTERS
John Ludwig
Financial Adviser
LHD Retirement
Renee Scherzer
Principal
401K Resources
MODERATOR
John Manganaro
Managing Editor, Digital
PLANADVISER
NOV. 19
2:00 p.m. EST
Are Advisers Conflicted When Serving MEPs and PEPs?
Over the summer, the U.S. Department of Labor (DOL) issued a request for information (RFI) about the potential for prohibited transactions involving pooled employer plans (PEPs)—a new type of plan outlined in last year’s Setting Every Community Up for Retirement Enhancement (SECURE) Act. The RFI enabled the public—including the retirement plan adviser and provider community—to contribute data and information that may be used to evaluate whether the DOL should propose a new prohibited transaction exemption for advisers facing such conflicts of interest.

Experts say the RFI provided an important opportunity for advisers to evaluate what conflicts of interest they could face in managing a PEP. It’s a pressing matter, because some say PEPs represent the future of the retirement planning industry.

This hour-long, editorial-driven webinar will dive into the expansion of the PEP marketplace and discuss practical matters for advisers who consider incorporating such plans into their practice and client offerings. Join us!
PRESENTERS
Michael Duckett
Fiduciary Consultant and Client Advocate
Lockton Companies
Pete Swisher
Founder and President
Waypoint Fiduciary LLC
Erin Turley
Partner
\McDermott Will & Emery LLP
David Whaley
Partner
Thompson Hine LLP
MODERATOR
John Manganaro
Managing Editor, Digital
PLANADVISER
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