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408(b)2 and 404(a) Fee Disclosure: New Compliance Challenges
   LIVE Webcast  


Event Details:                                                                                                                                                          

Plan Sponsors, Fiduciaries and Participants face new compliance challenges with DOL’s 408(b)2 and 404(a) fee disclosure regulations. While lobbyists have urged DOL to extend the compliance date for the disclosure rules, plan sponsors, fiduciaries and participants must be prepared now.

The Knowledge Group is assembling a panel of distinguished thought leaders, professionals and key regulators to help plan fiduciaries and participants understand the latest developments with the new fee disclosure regulation and how it may impact their businesses and clients. Our experts will also offer practical guidance and action items on how to navigate through potential risks. A live Q&A session is also included in this event.

Course Level: Intermediate
Prerequisite: None
Method Of Presentation: Group-Based-Internet
Developer: The Knowledge Group, LLC
Recommended CLE/CPE Hours: 1.75 - 2.0
Advance Preparation: Print and review course materials
Course Code: 124298
Recording Fee: $299 (Please click here for details)


Featured Speakers for 408(b)2 and 404(a) Fee Disclosure: New Compliance Challenges LIVE Webcast :

Agenda  (click here to view more)

Christine F. Miller, Partner,
McGinnis, Lochridge & Kilgore, L.L.P.

  • 1. The Department of Labor Section 408(b)(2) and Section 404(a) regulations are designed to provide retirement plan fiduciaries and plan participants with more complete information regarding compensation paid in connection with retirement plans, including both direct and indirect compensation, and revenue-sharing arrangements, as well as conflicts of interest that may affect service providers’ performance of services for retirement plans.

  • 2. The Department of Labor issued these regulations, in part, because of concerns about the lack of transparency regarding retirement plan fees and, in particular, the flow of fees, which can conceal potential conflicts of interest among retirement plan providers.

  • 3. The disclosures required under these new regulations by both service providers to plan fiduciaries, and then by plan fiduciaries to plan participants, are complex and create new obligations for plan fiduciaries to ensure that the disclosures are accurate and complete, and to determine whether fees assessed are reasonable.

  • 4. To ascertain whether retirement plan fees are reasonable, plan fiduciaries should consider benchmarking by comparing fees and expenses for similar retirement plans, issuing requests for proposals to several service providers, and/or examining and possibly, renegotiating service provider contracts.

Jake R. Downing, Associate,
Seyfarth Shaw LLP

The covered service provider and the covered plan should both use the service contract to set expectations for how fee disclosures will be made, how errors, omissions or disagreements will be remedied, and how indemnification will operate in the event issues cannot be resolved;
  • • The covered service provider and covered plan must finesse questions and answers related to indirect compensation disclosures to avoid prohibited transaction pitfalls.
  • • The covered plan fiduciaries should be proactive in assessing negative optics in the service provider fee disclosures when preparing the corresponding participant disclosures and work to manage these optics (i.e., all participant disclosures should be prepared with the understanding that the plaintiff's bar will be digesting them).

McGinnis, Lochridge & Kilgore, L.L.P.
Christine F. Miller
speaker bio »»

Seyfarth Shaw LLP
Jake R. Downing
speaker bio »»

Who Should Attend?

‒ Plan Sponsors, Fiduciaries and Participants
‒ Retirement Plan Practicing Lawyers
‒ Employee Benefits & Compensation Lawyers and Consultants
‒ Payroll and Benefits Administrators
‒ Human Resource & Benefits Personnel
‒ Retirement Plan Financial Professionals
‒ Financial Advisers
‒ Public Companies
‒ Private Companies
‒ And anyone involved in Retirement Plan Administration

Why Attend?

This is a must attend event for plan sponsors, fiduciaries, participants and other interested professionals who want to learn compliance issues with regard to 408(b)2 and 404(a) Fee Disclosure rules.

- Detailed guidance explained by the most qualified key leaders & experts
- Hear directly from key regulators & thought leaders
- Interact directly with panel during Q&A

Advanced registration is recommended as space is limited. Enroll in this course today by clicking the “Register” button below. Significant discounts apply for early registrants.

Registration Information:                                                                                                                                    

Please note, the event date is firm although it may be subject to change. Please click here for details.
The Knowledge Group, LLC is producing this event for information purposes only. We do not intend to provide or offer business advice. The contents of this event are based upon the opinions of our speakers. The Knowledge Congress does not warrant their accuracy and completeness. The statements made by them are based on their independent opinions and does not necessarily reflect that of The Knowledge Congress' views. In no event shall The Knowledge Congress be liable to any person or business entity for any special, direct, indirect, punitive, incidental or consequential damages as a result of any information gathered from this webcast.





408(b)2 and 404(a) Fee Disclosure: New Compliance Challenges
LIVE Webcast

Event Sponsors / Speaker Firms:

McGinnis, Lochridge & Kilgore, L.L.P. is a law firm with offices in Austin and Houston. From its two Texas locations, more than 60 attorneys provide business, government and litigation counsel to a national clientele. The firm maintains practices in Litigation; Legislative and Government Relations; Oil and Gas; Environmental and Water; Employment Law and Employee Benefits; Corporate and Business Transactions; Technology; Electric Energy; Telecommunication; Health Care; Real Estate; Tax, Estate Planning and Probate; Financial Services; and Education and Public Law.

Seyfarth Shaw (“Seyfarth”) has over 750 lawyers practicing in Atlanta, Boston, Chicago, Houston, Los Angeles, New York, Sacramento, San Francisco, Washington, D.C., and London. As a full-service law firm, Seyfarth provides a broad range of legal services, including Labor & Employment, Employee Benefits & Executive Compensation, Corporate & Finance, Tax, Real Estate, Intellectual Property, and Litigation.

Our clients range from Fortune 100 to midsize companies, and include publicly traded and privately held businesses. We represent clients in all industries and in all geographies and we are diligent in providing the same level of commitment to each client.

One of the attributes that distinguishes Seyfarth from other national law firms is the degree to which we function as an integrated national organization, with day-to-day interaction and joint representation among lawyers in all ten of the firm’s offices. This high degree of integration results from the manner in which our firm has expanded. Rather than creating multiple offices by acquisition and regarding them as distinct branches, nine of our ten offices were opened by existing Seyfarth attorneys from an established office in response to the needs of our national clients. Today, Seyfarth provides representation to our clients in every state of the country.

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