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Workshop/Seminar – 401(k) Plan Design Ideas and Fiduciary Responsibility

(Updated – NEW Fiduciary Rules recently announced by the DOL*)

Who Should Attend:

Plan Sponsors & Administrators, CPA’s, CFO’s, Business Owners and Human Resources

CPE (2) Credits / HRCI (2) CE Credits – (Please Request)

Seminar – Starting @ 8am Sharp (Registration and Breakfast @ 7:30am)
Length of Time – 2 Hours
Cost: Free to Registered Attendees (No Walk-ups allowed)


Plan Structure Ideas and Thoughts

– Review why a “flexible” Plan Structure can provide better Participation Rate and Reduce DOL Audit Risk
– 401(k) vs. 401(k) Roth or Hybrid
– Asset Lineup – Consider ETFs?
– Reduce Administrative Costs
– Increasing Participation Rate Ideas
– Considering Auto-Enrollment
– Step-Up Match Approach
– Multiple Matching Ideas for Compensation
– In-Service Distributions (why and why not)

Fiduciary Responsibility

(ADDED CONTENT) New DOL* Rules on Fiduciary Responsibility on 401(k) Plans
– What are YOU responsible for when it comes to Fiduciary Duty?
– Could you be “At-Risk” for a DOL Audit? We discuss how to REDUCE your risk!
– What you need to know?
– How to best prepare for Fiduciary Responsibility.
– What should be in your Fiduciary File (Plan Documents)
Benchmarking – how often should you do it and what the analysis means to you.

This workshop is for companies that may or may not currently have a 401(k) Plan and may want to know some better Plan Design Idea options; in addition to what their Fiduciary Duty may entail and some basic service details that you should consider.

Through several conversations with many CFO’s, Controllers, Human Resource personnel and corporate ownership, it still amazes us today how many companies have rigid plan structures, have many potential DOL (Department of Labor) Audit Flags and are not aware of the depth of their Fiduciary Responsibility to the company and the participants.

*DOL – Department of Labor

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