Earn: CFP CE Credit – Approved*
As the fiduciary, retirement plan sponsors are responsible for compliance with IRS and DOL regulations, maintaining accurate employee data, complying with notification delivery deadlines, and prudently selecting service providers and investments.
Under the Employee Retirement Income Security Act (ERISA), the DOL recognizes that plan sponsors might need to hire professionals—such as experts in retirement plan compliance, administrative tasks, and investments—to act on behalf of the plan. If they do, the expert may take on fiduciary responsibility as well. Among the various professionals who can support the plan sponsor, it’s the 3(16) fiduciary that can address the compliance and administrative burden.
Employers might not be aware that relief is available. This would be an opportunity to advise them on 3(16) Fiduciary Services. Join this complimentary webcast to learn more so you can be better prepared to help them. We’ll cover:
- The different types of fiduciaries; what they provide and what they don’t.
- The driving forces for 3(16) Fiduciary Services in today’s business environment.
- How you, the advisor, can assess how and when 3(16) Fiduciary Services are an appropriate option for a plan sponsor client.
|Jim Houpt | Divisional Vice President, Sales | FuturePlan
Jim Houpt leads our growing FuturePlan sales team in the Mid-Atlantic, Northeast, and upper Midwest regions, focusing on expanding markets and strengthening advisor relationships. Houpt ’s distinguished 38-year career in the retirement industry includes many leadership roles, most recently as Senior Vice President and co-founder of National Retirement Services (NRS). He grew NRS into one of the nation’s largest independent TPAs, earning a reputation for actuarial and ERISA excellence along with stellar client service. Houpt is a frequent guest speaker for advisors and CPA groups on a broad range of retirement plan topics.
|Mary McCracken, QKA | Senior Client Relationship Manager | FuturePlan
Mary McCracken started her career in the retirement industry over 13 years ago doing recordkeeping at a local TPA, Benefit Plans, Inc in Omaha, Nebraska. This was when she also earned her QKA designation with ASPPA. After developing her knowledge base on retirement plans, Mary joined Mutual of Omaha where she was part of their New Business team before moving to a Relationship Manager role. Mary is now a part of FuturePlan’s 3(16) Fiduciary Services Center of Excellence as a dedicated 3(16) Relationship Manager.
|Al Holifield | ERISA Attorney | Holifield & Janich, PLLC
Al Holifield is the founder of Holifield & Janich, PLLC, focusing his practice in the areas of employee benefits law, employee benefits litigation, health care compliance, employment law, employment litigation and business law. He earned his Certified Employee Benefit Specialist designation through the Wharton School of Business at the University of Pennsylvania. Holifield teaches Employee Benefits Law at the University of Tennessee College of Law as an adjunct professor and speaks nationwide on employee benefits matters.
FuturePlan by Ascensus provides plan design, administration, and compliance services and is not a broker-dealer or an investment advisor.
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FuturePlan by Ascensus, 200 Dryden Road, Dresher, PA 19025