Events

A refund is provided for a meeting reservation that is cancelled on or before the reservation deadline for the event.  Cancellations after the reservation deadline are not refundable, but the fee paid is transferable to another attendee for the same event.

Topics and speakers may change throughout the year.  Check back often for the most up-to-date information!       

Upcoming events

    • Thursday, October 17, 2019
    • 7:30 AM - 9:45 AM
    • Andrei's Restaurant, 2607 Main Street, Irvine
    • 4
    Register
         



    Arrangements to

    Supplement 401k Plans

     The Presentation:

    Using ESOP, Defined Benefit, and Non-Qualified Deferred Compensation arrangements to supplement 401k plans, aka Total Retirement Solutions

    •         How these plans operate
    •        Technical issues/benefits of each type of supplement
    •         How they supplement traditional 401k retirement benefits
    •         Administrative issues
    •         Why supplemental arrangements are needed now

     Our Speaker: Tom Burnor, Regional Vice President, Principal Financial Group


    Tom has over 20 years of experience in the retirement plan industry. For the past 15 years he has been with Principal Financial Group and is currently the Regional Vice President of Sales with the Principal Financial Group. Previously Tom was with Metlife. Tom earned a BSBA in Finance from Central Michigan University and a MBA from California State University, Fullerton.

    Who Should Attend:

    •  Plan Fiduciaries and Plan Sponsors who want to know their options for supplementing their 401(k) plan and the benefits/limitations of each
    •  Financial Advisors who want to know more about how supplemental plans operate and how to best introduce the topic to pan sponsors  
    • Auditors who want to know the unique characteristics of each type of supplemental plan
    • Record keepers who would like to know what it takes to admin9ster supplemental plans
    • Consultants who would like to have a more in-depth understanding of the administrative issues
    • All Benefits Professionals who are interested in participating in a high-quality educational forum and want to benefit from the knowledge and experience of other benefits experts
    Continuing Education: 
    2 CE for AIF Certification 
    2 CE for ASPPA certifications
    2 CEC for NIPA certifications
    2 CPE for CEBS
    1.75 hours MCLE for California attorneys
    2 hours for California CPAs
    2 hours for Certified Financial Planners
    2 hour for ERPA and Enrolled Agents 

    Doors open at 7:30 a.m. for check-in, breakfast and networking.  Our program will begin at 8:00 a.m. and this program will end at approximately 9:45 a.m.  The registration fee includes a full breakfast buffet and hosted valet parking.

    The reservation deadline for this event is Friday, October 10.

    WP&BC Members can bring a guest for free!  This is a wonderful opportunity to introduce your peers and colleagues to our Chapter.  Remember, your guest should be a first-time visitor and potential member.   Look for the free guest offer when you register online

    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.

    • Tuesday, November 05, 2019
    • 11:30 AM - 1:15 PM
    • Capital Group, 6455 Irvine Center Drive, Irvine, CA
    • 23
    Register


    Playing Well with Others in the

    Retirement Plan M&A Sandbox

    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:

    A Merger, Acquisition or Divestiture can be an exciting but stressful time for a business.  It also means there are numerous important decisions to be made and just as many voices involved.  Today’s session will feature a discussion with Rick Unser, a Workplace Retirement Plan Consultant with Lockton Retirement Services to help employers and their retirement service partners understand:

    • Overview of M&A transaction types and the impact on retirement plans
    • How buying a house can help you understand the different aspects of M&A
    • Strategies to effectively communicate with and leverage the strengths of different retirement service partners
    • Ways to solve tricky issues with loans, vesting, balance transfers and more
    • How to avoid common mistakes in retirement plan M&A
    • Why Private Equity is different but similar
    • Sniffing out controlled or affiliated service groups

     Our speaker: Rick Unser, Lockton

    • Retirement Plan Consultant with over twenty years of experience
    • Member of the Executive Committee of Lockton Retirement Services
    • Works with employers who have several hundred to several thousand employees
    • Been involved in over one hundred M&A transactions
    • Host of the “401(k) Fridays” Podcast

      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.

    Who Should Attend:

    Financial Advisors who want to know more about issues and solutions to retirement plans that are involved in mergers and acquisitions

    Plan Fiduciaries who want to know how to avoid the pitfalls in handling their retirement plans when going through a merger or acquisition

    Service Providers third-party administrators, and auditors who want to be updated on merger and acquisition issues.

    Consultants who want to be updated on merger and acquisition issues and solutions

    All Benefits Professionals who are interested in participating in a high-quality educational forum and want to benefit from the knowledge and experience of other benefits professionals in the Orange County benefits community.

    Continuing Education:

    • 2 CE for AIF (pending)
    • 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)

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


     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.

    • Thursday, November 21, 2019
    • 7:30 AM - 9:45 AM
    • Andrei's Restaurant, 2607 Main Street, Irvine
    • 50
    Register
         



    Navigating the Distribution Correction Minefield

     

    The Presentation:

    One of the more challenging aspects of retirement plan administration is compliance with the numerous distribution rules. Because of the numerous distribution rules, the opportunity for a mistake is high. Fortunately, most distribution failures are operational and the employer can self-correct the failures. Unfortunately, EPCRS provides few correction methods for distribution failures, leaving practitioners to formulate their own corrections. The issue that makes distribution corrections even more difficult is taxation. Correction of a distribution failure may not change the taxation. In this meeting, we will address the more difficult failures and provide recommended correction methods for the failures.

    •         Required minimum distribution failures – three correction options
    •         Overpayment
    •         Underpayment
    •         Failure to provide the proper distribution notice
    •          Failure to obtain participant/spousal consent for a distribution
    •          Delayed distributions
    •          Distribution prior to a distributable event (too early)
    •          Discriminatory availability of a distribution option
    •          Prohibited discretion over distribution options
    •          Rollovers vs. Transfers
    •          Required distributions

    Our Speaker: Stephen Forbes, ERISA Attorney – Forbes Retirement Plan Consulting

    Stephen is an ERISA attorney and educator with 33 years of experience practicing and teaching in the retirement plan area. Stephen is currently completing a book on retirement plan corrections. Mr. Forbes was vice president of SunGard Relius in charge of Relius Education. At SunGard, he taught seminars, conferences and web seminars on retirement plan compliance, design and correction. He also helped draft qualified plan, 403(b), 457(b), 409A and IRA documents and other forms. Mr. Forbes was the author of all of the editions of “The Form 5500 Filing Guide” and the co-author of “The Pension Library.” He also wrote articles and technical updates on all aspects of retirement planning. Stephen came to SunGard in the acquisition of Pension Publications of Denver (PPD) where he served as Vice President. Previous to working for PPD, Mr. Forbes was a Tax Law Specialist at the National Office of the Internal Revenue Service (Employee Plans Division) where he worked with Master/Prototype Plans, trained IRS employees, wrote IRS Notices and Revenue Rulings and participated in several Treasury regulations committees. After receiving his bachelor’s degree, Mr. Forbes graduated from Willamette College of Law. He then went on to obtain a Masters of Law degree in Taxation from the George Washington Law School.

    Continuing Education: 

    2 CE for AIF Certification 
    2 CE for ASPPA certifications
    2 CEC for NIPA certifications
    2 CPE for CEBS
    1.75 hours MCLE for California attorneys
    2 hours for California CPAs
    2 hours for Certified Financial Planners
    2 hour for ERPA and Enrolled Agents 

    Doors open at 7:30 a.m. for check-in, breakfast and networking.  Our program will begin at 8:00 a.m. and this program will end at approximately 9:45 a.m.  The registration fee includes a full breakfast buffet and hosted valet parking.

    The reservation deadline for this event is Friday, November 15.

    WP&BC Members can bring a guest for free!  This is a wonderful opportunity to introduce your peers and colleagues to our Chapter.  Remember, your guest should be a first-time visitor and potential member.   Look for the free guest offer when you register online

    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.

Past events

Thursday, September 19, 2019 Breakfast Forum: Update on ERISA litigation and Lessons Learned
Thursday, August 15, 2019 Expanded EPCRS and Determination Letter Program
Thursday, May 16, 2019 Breakfast Forum: Cyber Security – Are You At Risk?
Thursday, April 18, 2019 Breakfast Forum: Courts, Congress & Compliance – What’s New for ERISA Litigation, Benefits Legislation, and Agency Guidance for 2019?
Thursday, March 21, 2019 Breakfast Forum:TARGET DATE FUNDS Where have we been, where are we now, where are we going…..
Thursday, March 07, 2019 Navigating Pre-Approved Plan Documents
Thursday, February 14, 2019 Breakfast Forum:MEPs, PEPs, 3(16), and State Sponsored Plans
Thursday, January 24, 2019 The 11th Annual ABCs of Pension Plans
Thursday, January 17, 2019 Breakfast Forum:Department of Labor Update - Keeping Current
Thursday, November 29, 2018 Legacy of the DOL Fiduciary Rule
Thursday, November 15, 2018 Breakfast Forum:What You Need To Know To Insure Retirement Plan Risks
Thursday, October 18, 2018 Breakfast Forum:Distributions Retirement Planning
Thursday, September 20, 2018 Breakfast Forum:Washington Update:Legal & Regulatory Update for Retirement Plan Professionals
Thursday, August 23, 2018 2018 Member Appreciation
Wednesday, June 13, 2018 Missing Participants & Uncashed Checks – Problems Never Anticipated
Thursday, May 10, 2018 Breakfast Forum:Cyber-Security Threats To Plan Participants and Individuals Are Becoming More Pervasive
Thursday, April 19, 2018 Breakfast Forum:A Deep Dive into new Section 199A,
Thursday, March 15, 2018 Breakfast Forum: Nightmare on TPA Street – EPCRS Case Studies that will make your hair curl!
Wednesday, February 28, 2018 Technical Lunch Forum: RETIREMENT PLAN POLICY STATEMENTS
Wednesday, February 07, 2018 Breakfast Forum: Before the Feds Arrive, Have You Prepared?
Thursday, January 25, 2018 The 10th Annual ABCs of Pension Plans
Thursday, January 18, 2018 Breakfast Forum: Demystifying the Plan Audit Process – What Are the Auditors Really Doing?
Thursday, November 16, 2017 Breakfast Forum: See No Policy, Hear No Policy, Speak No Policy: Washington Retirement Update on Tax Reform, Fiduciary Rule, and Lawsuits
Thursday, October 19, 2017 Fee Equalization in 401(k) Plans
Thursday, September 14, 2017 Breakfast Forum: A Washington Update: Legal & Regulatory Update for Retirement Plan Professionals
Tuesday, August 22, 2017 Technical Lunch Forum: 2017 Western Benefits Conference Roundtable
Tuesday, July 11, 2017 2017 Member Appreciation
Thursday, May 18, 2017 Regulation, Self-regulation, and Professionalism and the Future of Financial Advice
Thursday, April 20, 2017 I’ll See You in Court! ERISA Litigation Update 2016/2017
Thursday, March 23, 2017 Technical Lunch Forum: 403(b) Plans in 2017: Significant Issues and Trends
Thursday, March 16, 2017 Social Security: Benefits, Deficits and Beyond
Tuesday, February 21, 2017 Navigating the Form 5500 Nonsense
Thursday, February 16, 2017 Fiduciary Best Practices – Will Your Plan Hold Up to a Compliance Review or Audit?
Tuesday, January 24, 2017 The 9th Annual ABCs of Pension Plans
Thursday, January 19, 2017 What the DOL Expects of Auditors and What Can Go Wrong
Thursday, November 17, 2016 Recognizing and Avoiding Pitfalls When Changing Record keepers
Thursday, October 20, 2016 Breakfast Forum: Mergers and Acquisition Issues - What Affect Does it Have on Your Clients?
Tuesday, September 13, 2016 Breakfast Forum: A Washington Update: How Will Recent Legislation Affect Your Clients?
Tuesday, August 23, 2016 Technical Lunch Forum: 2016 Western Benefits Conference Roundtable
Tuesday, July 19, 2016 Western Benefits Conference
Thursday, June 02, 2016 Technical Lunch Forum: Risky Business: The Pension Risk Hot Potato
Thursday, May 19, 2016 Washington Update: The DOL Fiduciary Rule Package (Is there Anything Else?)
Thursday, April 28, 2016 Technical Lunch Forum: ALL YOU EVER WANTED TO KNOW ABOUT LATE REMITTANCES – BUT WERE AFRAID TO ASK
Thursday, April 21, 2016 State-Sponsored Savings and Retirement Plans for Private Employers
Thursday, March 17, 2016 Settling Down – Lessons Learned from Recent Class-Action ERISA Settlements
Thursday, February 18, 2016 DOL’s Retirement Income Initiative - DC Plan Lifetime Income Products
Thursday, January 21, 2016 The 8th Annual ABCs of Pension Plans
Thursday, January 14, 2016 Plan Audit Quality - Top DOL Initiative!!
Thursday, November 19, 2015 Best Behavioral Practices To Solve the DC Outcomes Crisis
Thursday, October 22, 2015 Benefit Plan Vendor Agreements From the Employer’s Perspective: Better Know What’s in the Fine Print!
Thursday, September 17, 2015 The Supreme Court’s Decision in Tibble v. Edison International: What Are the Must Know Lessons for Plan Fiduciaries?
Tuesday, August 25, 2015 Technical Lunch Forum: 2015 Western Benefits Conference Roundtable
Sunday, July 19, 2015 2015 Western Benefits Conference
Tuesday, May 19, 2015 Breakfast Forum: The New Proposed Fiduciary Conflict of Interest Rule - How Will It Affect Financial Advisors?
Wednesday, May 06, 2015 Technical Lunch Forum: Are You a Modern 401(k) Fiduciary - Important Updates and Guidance for 2015
Thursday, April 16, 2015 Breakfast Forum: IRS's Voluntary Closing Agreement Program -- When EPCRS Just Isn't Good Enough
Thursday, March 19, 2015 Breakfast Forum: ERISA Litigation Update 2015 - Order in the Court!
Friday, March 06, 2015 Technical Lunch Forum: FEE DISCLOSURE: Issues, Solutions & Opportunities
Thursday, February 12, 2015 Breakfast Forum: Investments 101 - Understanding Retirement Plan Investments
Tuesday, January 20, 2015 Breakfast Forum: Avoiding Common Pitfalls in the Plan Restatement Process
Thursday, January 15, 2015 The 7th Annual ABCs of Pension Plans
Thursday, November 20, 2014 Breakfast Forum: Excessive Fee Litigation -- From the Plaintiff's Point of View
Thursday, October 16, 2014 Breakfast Forum: Benchmarking Service Provider Fees and Services
Thursday, September 18, 2014 Breakfast Forum-Washington Update: Legislation and Regulation Changes in Retirement Plans
Tuesday, August 19, 2014 Technical Lunch Forum 2014 Western Benefits Conference Roundtable
Sunday, July 27, 2014 Winning Strategies - The 2014 Western Benefits Conference
Thursday, May 15, 2014 Breakfast Forum: Changing Roles for Fulfilling Fiduciary Responsibilities
Thursday, April 17, 2014 Breakfast Forum: Avoiding Common Audit Pitfalls
Thursday, March 20, 2014 Breakfast Forum: Target Date Fund Guidance
Wednesday, March 05, 2014 Seminar: 2014 Financial Advisor Seminar
Thursday, February 20, 2014 Breakfast Forum: ERISA Litigation
Wednesday, February 05, 2014 Technical Lunch Forum: ASPPA Regional Conference Roundtable
Tuesday, January 21, 2014 Breakfast Forum: DOL Confidential
Tuesday, January 14, 2014 The 6th Annual ABCs of Pension Plans
Thursday, November 21, 2013 Breakfast Forum: Anatomy of a Correction
Wednesday, November 13, 2013 Technical Lunch Forum: Distributions, Loans and Un-Cashed Checks
Thursday, October 17, 2013 Breakfast Forum: The U.S. Supreme Court's Decision on DOMA and Related Guidance
Wednesday, September 18, 2013 Breakfast Forum: Legislative and Regulatory Update with Stephen Forbes
Thursday, August 15, 2013 Technical Lunch Forum
Thursday, May 23, 2013 Breakfast Forum: Issues, Concerns and Solutions in Auditing 403(b) Plans
Wednesday, May 08, 2013 Webinar: Circular 230 Overview
Tuesday, May 07, 2013 Seminar: Growing Your Book of Pension Business
Tuesday, April 23, 2013 Technical Lunch Forum: Health Care Reform - Play or Pay
Thursday, April 18, 2013 Breakfast Forum: Participant Behavior in Qualified Retirement Plans and What it Means to Maximize It
Thursday, March 28, 2013 Webinar: Multiple Employer Plans
Thursday, March 21, 2013 Breakfast Forum: ERISA Litigation Update 2012/2013
Thursday, February 21, 2013 Breakfast Forum - New EPCRS Procedures
Tuesday, February 05, 2013 Technical Lunch Forum
Tuesday, January 29, 2013 Breakfast Forum: 2013 Updates from U.S.DOL's Office of Chief Accountant and LARO
Wednesday, January 09, 2013 The ABCs of Pension Law
Thursday, November 15, 2012 Breakfast Forum
Thursday, October 18, 2012 Breakfast Forum: Service Provider and Participant Fee Disclosures
Tuesday, September 25, 2012 Technical Lunch Forum
Wednesday, September 19, 2012 Breakfast Forum
Western Pension & Benefits Council Orange County Chapter
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