SPARK National 2017


Wednesday, May 31, 2017

1:00 – 7:00 pm Conference Registration –

7:00 – 10:00 pm Exhibitor Setup

Thursday, June 1, 2017

7:00 am – 5:00 pm Conference Registration –

7:00 – 8:00 am Continental Breakfast with Exhibitors –

8:00 – 8:30 am Welcome & Opening Remarks

Tim Rouse, Executive Director, SPARK Institute

8:30 – 9:20 am Keynote Address: The Global DC Market

Matthew O’Hara, BlackRock’s Global Head of Investments for LifePath

While many of the demographic, economic and social trends driving the retirement crisis are global, solutions need to be local. Each country’s income data, longevity statistics, spending patterns and behavioral characteristics all must be accounted for when designing investment solutions intended to help support retirement consumption. We will explore key factors in several nations across the globe – including how they differ, where they are similar, and how this insight may shape retirement investing solutions.

9:25 – 10:15 am Broker Dealer Home Office Roundtable: Opportunities to Build Your Relationships for Growth

Ted Samsel, Vice President, Relationship Management, Ascensus
Jon Anderson, Director, Retirement Plan Solutions, Cetera Financial Group
William Beardsley, Senior Vice President, LPL Financial Retirement Partners
Ed O’Connor, Managing Director, Morgan Stanley Wealth Management

Join Ascensus for a Broker Dealer panel discussion with industry experts from Cetera, LPL Financial, and Morgan Stanley to discuss regulatory developments and tools that are being used to ensure continued compliance, promote plan wellness, and drive retirement readiness. Our panelists will also explore what recordkeepers and TPAs can do to grow their business in these channels.

10:15 – 11:35 am Break with Exhibitors –

10:45 – 11:10 am BREAKOUT SESSIONS

SESSION A – The State-Run Retirement Opportunity: How should your firm react?

Michael DiCenso, Senior VP, Sales & Strategic Partnerships, Inspira

Due to concerns over the lack of access to a retirement plan for millions of American workers, states and cities will be launching State Administered Retirement Plans (SARPs) and/or Nest Egg programs. We will explore proposed plan designs, implementation dates, eligibility requirements and pricing expectations of these plans.

SESSION B – Shared Cyber Threat Intelligence and Analysis

John Carlson, Chief of Staff, FS-ISAC

In this session, members will hear from the FS-ISAC Chief of Staff on how financial services firms are working together to share cyber threats and combat security risks.

11:40 – 12:30 pm Congressional Panel

Chris Gaston, Senior Policy Director, Davis & Harman LLP

12:30 – 1:30 pmLunch

1:30 – 2:20 pm A Retirement Paycheck at the End of the Rainbow

Roberta Rafaloff, Vice President, Institutional Income Annuities, MetLife

Despite an almost singular focus by the retirement industry on investing and growing defined contribution (DC) plan assets, most plan sponsors now recognize that the “core purpose” of workplace retirement plans should be to serve as a source of retirement income. From plan sponsor views on public policy to brand new participant insights, this session will address how plan sponsors, record keepers, plan advisors and other retirement professionals can help future generations of retirees value a retirement paycheck, rather than a proverbial pot of gold.

2:20 – 2:50 pm Break with Exhibitors –

2:55 – 3:45 pm BREAKOUT SESSIONS

SESSION A – Retirement Plan Advisors – Managing Productivity & Risk

Michael Shafer, Director of Relationship Management, DST Retirement Solutions (moderator)
Marc Caras, Head of Retirement Plan Business, Pershing, LLC
Sharon Scanlon, Senior Vice President, Lincoln Financial Group
Mike Shamburger, Vice President, T. Rowe Price

Growing a book of business happens when advisors are able to efficiently and confidently support plan sponsors and positive participant outcomes.Yet challenges, such as ever-changing regulations, participant behaviors, and technology investment prioritization seem to constantly stretch capabilities, resources, and growth potential. This panel session will discuss the challenges and opportunities that are driving industry changes, leading to the development of innovative solutions that can help advisors strategically grow and retain their retirement book of business, while also fulfilling their fiduciary obligations.

SESSION B – Plan Sponsors Growing Fiduciary Responsibilities for Cyber Security

Greta Cowart, Shareholder, Winstead
Wendy Carter, Vice President, Defined Contribution Director, Segal

More and more plan sponsors are realizing they have a responsibility and ris k in administering their defined contribution plans. This session will examine the growing fiduciary risks plan sponsors face.

3:50 – 4:50 pm State Run Retirement Plan Pros and Cons

Hon. Joshua Gotbaum, Guest Scholar, Retirement Security Project, Economic Studies, The Brookings Institution

SPARK Institute continues its examination of State Run Retirement plans and looks at the pros and cons of how best to expand retirement coverage to more American workers. In this session, Joshua Gotbaum, agrees to be interviewed on the coverage issue. Mr. Gotbaum has extensive background working with State Treasurers from around the Country on this issue through his work on Brookings Retirement Security Project. He is also the chair of the Maryland Small Business Retirement Security Board and from 2010-14 he directed the U.S. Pension Benefit Guaranty Corp.

5:00 – 7:00 pm Reception with Exhibitors

Friday, June 2, 2017

7:00 – 8:00 am Continental Breakfast with Exhibitors –

8:00 – 8:15 am Opening Remarks

Tim Rouse, Executive Director, SPARK Institute

8:15 – 9:00 am Keynote Address – Driving Participant Retirement Savings

Sharon Scanlon, Senior Vice President, Lincoln Financial Group

Plan sponsors and providers can develop programs that drive outcomes, but understanding participants’ attitudes and behaviors is also important – the actions they take, their sources of motivation (or lack thereof!), and the challenges they face. Looking back over the past five years, this session will explore which participant attitudes have changed, and which have remained consistent. New insights will be revealed on methods plan providers and plan sponsors can use to help drive better outcomes.

9:20 – 10:10 am BREAKOUT SESSIONS

SESSION A – Latest Legal Trends in Data Security

Allison Bender, Senior Associate, Hogan Lovells US LLP
David Levine, Principal, Groom Law Group, Chartered

This session will examine how laws are changing rapidly to address cyber security risks and vendor’s responsibilities. Our legal experts will examine the changing legal environment here in the U.S. and abroad. Learn about macro trends in data security and how they are playing out on a day-to-day basis for record keepers and their clients.

SESSION B – Interactive Discussion on Recordkeeping Less Liquid Investments

Members are encouraged to come and participate in an interactive discussion with members of the Defined Contribution Real Estate Council (DCREC). In this session, the DCREC is seeking feedback from SPARK member firms who have some experience or thoughts about dealing with funds that might have liquidity restrictions. The goal is to provide thought leadership for establishing industry best practices for record-keeping private real estate investments. Participants in the session should expect to share and learn about operationalizing these private investments in the custom or white label solutions created by plan sponsors and their consultants. Key topics will include: NAV communication, rebalancing, disclosure requirements, liquidity management, communication needs, etc.

10:15 – 10:45 am Break with Exhibitors –

10:45 – 11:35 am Advisor and Consultant Panel

Mike Weckenbrock, Vice President, Business Risk, Ameritas Life Insurance Corp. (moderator)
Philip Chao, Principal and CIO, Chao & Company, Ltd
Jake O’Shaughnessy, Managing Director, SageView Advisory Group
M. Corey Whitehead, Principal and COO, MRP

In this session, you will hear from a panel of Plan Sponsor Advisors and Consultants. Our panel will discuss trends in the industry and how they are adapting to the new fiduciary rule. They will also provide the audience with insights into what plan sponsors want and need from their service providers. Plenty of time will be made available for the audience to ask questions.

11:35 – 11:55 am Break / Check-Out

11:55 – 12:45 pm Legislative & Regulatory Update

Chris Gaston, Senior Policy Director, Davis & Harman LLP
Mike Hadley, Partner, Davis & Harman LLP