The NAPA/NTSA ERISA 403(b) Advisor Conference is a new industry event designed for experienced professionals working with ERISA 403(b) plans. This conference has been built specifically for ERISA 403(b) specialist advisors and consultants to gain insight from top thought leaders, share ideas with peers, build a national network of contacts, learn innovative techniques for improving retirement outcomes, and much more.
Topics addressed will include:
• Updates on current and future legislation
• Current litigation issues
• Navigating legacy investments
• Plan sponsor perspectives
• Recordkeeping consolidation
Who Should Attend?
Agenda
Day One: October 2
5:00 p.m – 7:00 p.m.
Conference Registration
5:00 p.m – 7:00 p.m.
Welcome Reception
Day Two: October 3
8:00 a.m. – 9:00 a.m.
Breakfast and Sponsor Engagement
9:00 a.m. – 9:15 a.m.
Welcome & Opening Remarks
9:15 a.m – 10:05 a.m.
Hot Topics (Secure, Regulations, & Washington Update)
Congress is working on landmark retirement plan legislation that could be enacted by the end of this year. Many of the provisions specifically apply to 403(b) plans. Find out how these provisions will impact your clients and plan participants. Furthermore, DOL continues to be highly active on ESG, Crypto, and fiduciary issues in general. So, you will also hear about the latest regulatory developments that could have a significant impact on your practice.
10:15 a.m. – 11:05 a.m.
“Suit” Cases: Trends, Trials, & Tribulations in ERISA 403(b) Litigation
Roughly a decade after the initial flurry of 401(k) excessive fee suits, the plaintiffs’ bar “discovered” ERISA 403(b) plans, along with a whole new series of alleged shortcomings, including the first suit to challenge the use of participant data for purposes beyond the retirement plan. It was a decision sharply critical of an uninvolved plan committee, and a suit that questioned the responsibility for carrying the burden of proof that went all the way to the United States Supreme Court.
This expert panel will help you understand the litigation landscape in this vibrant sector. It will also provide insight into how you can help your plan sponsor clients avoid having to appear in court.
11:05 a.m. – 11:35 a.m.
Morning Refreshment Break & Sponsor Engagement
11:35 a.m. – 12:25 p.m.
Remaining Relevant
The disruptions of the last few years have caused many American workers to reevaluate how they think about work and what they expect and want from their employers.
The overwhelming majority considers a 403(b)/401(k) defined contribution plan a “must have” benefit. But simply offering a plan may not be enough. Is your organization’s retirement plan remaining relevant in supporting the modern worker’s expectations? Is it helping to attract new employees to your organization?
In this session, we’ll discuss plan design features and services that might be considered in order to keep your plan impactful, on budget, and supportive of the diverse and evolving needs of today’s workforce.
- Structuring the employer contribution
- Automatic enrollment and escalation – paternalistic or autocratic?
- Eligibility and vesting
- Defining “retirement”
- After tax or Roth After Tax
- In-service withdrawals and loan features
- Communicating the benefit provided
- Personalization of financial education and tools
12:30 p.m. – 1:45 p.m.
Lunch
1:45 p.m. – 2:35 p.m.
ESG Mission Driven
The 403(b) market has historically led the defined contribution world for investments focused on environmental, social, and governance (ESG) factors. In many cases, there are competing interests within an organization. Stakeholders managing the mission have one set of priorities; but while serving the retirement plan in a fiduciary capacity, they must meet an ERISA fiduciary standard as well. This can be complicated for advisors and their plan sponsor clients. And it’s further complicated by the perceived state of regulatory flux over the past decade. Attendees at this session will learn:
- Current state of regulation from DOL
- Communicating about ESG in ERISA-covered plans in a mission-driven organization
- Action steps advisors can take today when working with plan sponsors and participants
2:45 p.m. – 3:35 p.m.
Retirement Income: Real Innovation or More of the Same Chit Chat?
The “Retirement Income” topic can elicit a range of reactions from the various stakeholders within our industry. Suffice it to say that we haven’t coalesced around design, funding vehicles, portability, and other critical components. Have we seen real innovation or are we stuck on the whiteboard? Join our panel as they discuss the state of retirement income within the industry at large and the 403(b) market.
3:35 p.m. – 4:05 p.m.
Afternoon Refreshment Break & Sponsor Engagement
4:05 p.m. – 4:55 p.m.
403(b) Legacy Investments: The Bad, The Expensive, and The Ugly
4:55 p.m. – 5:00 p.m.
Closing Remarks
Day Three: October 4
8:00 a.m. – 9:00 a.m.
Breakfast and Sponsor Engagement
9:00 a.m. – 10:30 a.m.
Plan Sponsor Panel
Hear directly from plan sponsors about the unique cultural, business operation, and plan issues that impact tax-exempt employers and how they govern their plans. Plan sponsors from small employers up to large employers will discuss how they address:
- Shared Governance and Leadership (strategy)
- Managing change in the NFP environment and understanding the decision-making process
- How retirement fits into the human capital management spend
- Where they need help today and, in the future
- The changing roles of Advisory services today and expectations for the future
- Harmony between mission and plan
- Litigation / Risk Management
10:30 a.m. – 11:20 a.m.
Consolidation of Recordkeepers in the Industry
There has been significant consolidation among the recordkeeping providers in the 403(b) retirement-plan marketplace over the last decade. In this session, we will discuss what has been causing that consolidation and the implications for plan sponsors. We will also cover what advisors can do when a client’s recordkeeper gets acquired.
Key Topics
- Review of the recordkeeper landscape
- Factors driving recent consolidations
- Action steps for plan sponsors
11:20 a.m. – 11:30 a.m.
Closing Remarks
Meet the 2022 ERISA(403b) Committee
Earle Allen, MBA, CEBS
Principal
CAPTRUST
Erik Daley, CFA
Managing Principal
Multnomah Group
David Hinderstein, BS Degree Finance – Registered Investment Advisor
Regional Senior Vice President
OneDigital
Ellen Lander, AIF, CPFA
Principal
Renaissance Benefit Advisors Group
Don MacQuattie, CEBS
Senior Vice President, Head of Institutional Fiduciary Solutions
Raymond James
Brent Neese, CPFA®, CRES
Senior Vice President Retirement Services
PlanMember
Bonnie Treichel, JD
Chief Solutions Officer
Endeavor Retirement
Registration Rates
If you are unsure of your organization’s affiliation, please check your membership at NAPA Firm Partners or NTSA Strategic Partners.
By registering for this event, you agree to abide by our Event Policies.
Conference Venue & Hotel Information
Hyatt Regency Capitol Hill
400 New Jersey Ave NW
Washington, DC 20001
Stay steps from the U.S. Capitol at our D.C. hotel!
Discover the nation’s capital at Hyatt Regency Washington on Capitol Hill. We are only 1,287 steps away from the U.S. Capitol and just a short walk from attractions including the Smithsonian Museums and world-famous monuments. Our hotel also features the largest ballroom on Capitol Hill.
Room Rate: $289 + applicable taxes
Hotel Cut-off: Friday, September 9, 2022, or until conference rate rooms sell out, whichever comes first.
Conference Sponsors
Continuing Education
NAPA & NTSA Members
The NAPA/NTSA ERISA 403(b) Advisor Conference offers more than 8 hours of NAPA Relevant Topics, ASPPA, and NTSA CE credit for attending general sessions.
Conference Event Policies
Event Policies
NAPA, the National Association of Plan Advisors, and NTSA, the National Tax Deferred Savings Association, are a part of the American Retirement Association (ARA), the umbrella organization for five affiliate organizations: ASEA, ASPPA, NAPA, NTSA and PSCA. Our conferences provide a wide array of continuing education and unique networking opportunities to our members and the retirement plan industry as a whole. All participants in our events are expected to abide by our Events Code of Conduct. Please click here to download a copy.
Registration Refund Policy
Requests for refunds should be submitted to accountsreceivable@usaretirement.org by September 9, 2022. A refund of the conference fee, minus a $100 processing fee, will be given for cancellations received by that date. No refunds will be granted for requests received after this date. Please note that refunds will not be given for no-shows.
Substitution Policy
Substitution of registrations is permitted prior to the conference. Only one substitution is permitted per original registrant. The individual submitting the substitution request is responsible for updating any contact information. Requests for substitutions should be submitted to accountsreceivable@usaretirement.org by September 23, 2022. No substitutions will be accepted after this date.
Badges
Attendees who register in advance may pick up their badge and onsite materials at the Registration Desk during conference hours. If you do not check in at the Registration Desk to pick up your badge, you will be deemed a no-show and continuing education credit will not be issued. Attendees are not permitted to pick up other attendees’ badges/materials.
Covid Waiver & Safety Protocols
By participating in this conference and any associated events, you acknowledge and understand the highly contagious nature of Coronavirus/COVID-19, and that current medical knowledge of the virus, including its transmissibility and risk remains uncertain, particularly in light of evolving variants of the virus. There is not a cure for the virus, and those with certain medical conditions may be at high risk for contracting the virus and/or experiencing significant and life-threatening complications.
You understand and acknowledge that neither the American Retirement Association (ARA) nor the event venues are able to provide a guarantee against transmission of the virus, infection and/or illness and that they are not responsible for any potential exposure to COVID-19 and injuries related thereto or other infectious disease which you may experience in connection with the conference. As such, you assume all risks related to COVID-19, even if arising from the negligence or fault of ARA and you release and hold harmless the ARA, its officers, employees, agents, representatives, affiliates, legal successors, and all persons acting pursuant to its authority from any and all liability for damages for exposure to and/or infection with COVID-19 in connection with or on account of your participation in the conference.
If you test positive for COVID-19 within 14 days of the event or have COVID-19 related symptoms, including if the conditions emerge while you are at the event, you will not attend the conference. If you believe you have been exposed to COVID-19, you should follow the current CDC guidance. In addition, ARA may immediately remove or prohibit you from in-person activities at the conference if you exhibit symptoms associated with COVID-19, or if you fail to comply with any safety procedures stipulated by ARA or the event venue. Please refer to our event policies for additional information about safety protocols and the covid waiver.
Event Performance
If the event is canceled, ARA will refund your registration fee. ARA is not responsible for individual airfare, hotel or any other travel expenses that may be incurred.
Consent to Use of Photographic Images
Your registration and attendance at, or participation in, the event and other affiliated activities constitutes an agreement by the registrant to grant ARA permission to use photos taken of you at the event for news, promotion and similar purposes.
Unauthorized Solicitations
Solicitation of business by anyone other than the conference exhibitors and sponsors is strictly prohibited. Please report any violations to the ARA staff.
Hotel
By making a reservation in the conference hotel room block, you agree that the hotel can share with ARA basic information about your stay, including your name, arrival, and departure dates.
Program Content
The views and opinions expressed by speakers or others who have provided materials to and for this conference are not necessarily those of NAPA, NTSA, ARA or its affiliate organizations. NAPA, NTSA, ARA, and its affiliate organizations assume no responsibility for, nor endorse, any of the comments, recommendations or materials that are provided.
Event Code of Conduct
The American Retirement Association, the umbrella organization for the individual membership organizations: ASPPA, ASEA, NAPA, NTSA and PSCA (collectively the “ARA”), is committed to providing a safe, productive, and welcoming environment for all participants at ARA events. All participants, including, but not limited to, attendees, speakers, volunteers, exhibitors, service providers and ARA staff members, and all others are expected to abide by this Events Code of Conduct. This policy applies to all ARA events (in-person and virtual), including all meetings and conferences, as well as events sponsored by organizations other than ARA but held in conjunction with ARA events. Read the full Event Code of Conduct.
Antitrust Policy
The American Retirement Association, the umbrella organization for five affiliate organizations, ASPPA, ASEA, NAPA, NTSA and PSCA (collectively the “ARA”), assigns the highest priority to full compliance with both the letter and the spirit of antitrust laws and it is vital that any ARA meetings be conducted in a manner consistent with this policy. Read the full Antitrust Policy.
Have questions? We’re here to help!
Our customer care team is standing by to answer all your questions about the NAPA Nonqualified Plan Advisor Conference. Feel free to connect with us at customercare@napa-net.org.