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Navigating Pre-Approved Plan Documents

  • Thursday, March 07, 2019
  • 11:30 AM - 1:00 PM
  • Capital Group, 6455 Irvine Center Drive, Irvine, CA
  • 2


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

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Navigating Pre-Approved Plan Documents

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:

  • Learn what you can – and cannot do - with a pre-approved plan
  • Understand the impact of modifications to a pre-approved plan
  • Understand key issues on the current restatements of pre-approved DB and 403(b) plans
  • Become aware of the changes for the next cycle for DC plans
  • Be able to apply the interim amendment rules by using the new hardship rules as an example

We are in the midst of DB and 403(b) restatement periods and the next cycle of DC restatements is just beginning. With the scaling back of the individually designed plan determination letter program, it’s important to understand which plans can be restated onto a pre-approved plan.  There are limits on what provisions can be in a pre-approved plan, but in general these plans can be very flexible and accommodate most plan designs. In this session we’ll do an in-depth discussion of the pre-approved plan program. We’ll also address the interim amendment rules and apply those to the new hardship rules.  

 Our speaker:

Robert M. Richter, J.D., LL.M., Retirement Education Counsel

Robert recently joined the American Retirement Association (ARA) where he’s primarially responsible for maintaining the ERISA Outlines Book and assisting with ARA educational programs. Robert began his career with Corbel (later SunGard and most recently FIS) in 1985, and served as Director of the Technical Consulting Department since 1992. He was instrumental in authoring and supporting SunGard's retirement plan documents. Robert had served in numerous volunteer capacities within the American Society of Pension Professionals and Actuaries (ASPPA), including serving as President in 2012 and in 2017. Robert is also a Fellow in the American College of Employee Benefit Counsel, and is a member of The Florida Bar. Robert received a B.S., with a major in Finance, from the University of Florida, a J.D. from Florida State University, and an LL.M. in taxation from the University of Florida.

  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.

Continuing Education:

  • 2 CE for AIF 
  • 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)

Who Should Attend:

·      Plan Fiduciaries and Plan Sponsors who want to know what fiduciary standards apply to their plan’s investment advisors

·      Financial Advisors who want to know what they might expect from SEC and state fiduciary standard activities  

·     Auditors who want to know what effect SEC and state activity may have on fiduciary issues

·     TPA Firms and Recordkeepers who would like to know how SEC and state activity may affect their fiduciary exposure

  • Consultants and Attorneys who would like to delve into how SEC and state activity may affect investment advisory fiduciary exposure

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

This event is sponsored by:

 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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