4:10 – 5:00 pm Demise of the Fiduciary Rule – Now What?

Mike Narkoff, EVP, Business Development, Ascensus (moderator)
Guy Hocker, President, Cetera Retirement Plan Specialists
Edward O’Connor, Managing Director, Head of Workplace Solutions, Morgan Stanley Wealth Management

Now that the DOL appears unlikely to challenge the 5th Circuit ruling vacating their conflict of interest rule, where does the industry go from here? In this session we will hear from senior business leaders from larger broker dealers and DC focused RIAs on how they plan to react to the end of the DoL’s fiduciary rule and the emergence of a new SEC rule.

5:00 – 7:00 pm Reception with Exhibitors

7:00 – 8:00 am Continental Breakfast with Exhibitors – Sponsored by Congruent

8:00 – 8:25 am Opening Remarks

Rich Linton, Empower Retirement (introduction)
Keynote speaker: Congressman Tim Walberg

8:30 – 9:20 am Creating Revenue & Plan Fiduciary Wellness Through IRA Platforms

Tom Kmak, CEO, Fiduciary Benchmarks (moderator)
David Levine, Principal, Groom Law Group, Chartered
Rich Rausser, SVP, Client Services, Pentegra Retirement Services
Vincent Vicidomini, Vice President, Business Development, Mesirow Financial

As the retirement services and wealth management industry adjusts to the new demands of IRA account holders, it is time to evaluate the products and pricing strategies offered to plan sponsors and retail investors. Consideration should be given to the effective management of lower balance retirement accounts, including fiduciary considerations, while helping the account holder achieve more secure retirement outcomes. In this session, industry leaders – including recordkeepers, legal advisors and investment advisors – will share their perspectives on the new best practices you should employ to optimize product management protocols and increase efficiencies.

9:20 – 10:10 am BREAKOUT SESSIONS

SESSION A – Missing Participants

Gayle Rollins, Assistant General Counsel, AIG Consumer (moderator)
Terry Dunne, SVP, Managing Director, Millennium Trust Company
Mark Sweatman, President, Retirement Plan Management Services, RCP Solutions

Missing participants are a growing concern for plan sponsors, regulators and recordkeepers. In this session, you will learn about strategies for dealing with missing participant accounts, what works and what doesn’t.

SESSION B – Cyber Security Trends

Monica Oswald, Vice President, Prudential Financial (moderator)
Morian Eberhard, Vice President, Threat Management & Monitoring, Schwab Cybersecurity Services
Peter Falco, Director of Broker-Dealer Services, FS-ISAC

SPARK just announced a partnership with the FS-ISAC for the creation of a Retirement Industry Council (RIC) to help member firms share cyber security threats and prevent attacks. In this session, moderated by Prudential, you will hear about trends in cyber security attacks and learn how others are working to prevent them.

10:10 – 10:30 am Break with Exhibitors – Sponsored by BenefitsLink

10:40 – 11:10 am Advisor Panel

Kathleen Roche, Vice President, Ascensus (moderator)
Tim Black, President, Black Diamond Advisory Services
Joseph DeNoyior, Managing Partner, Washington Financial Group
Jania Stout, Practice Leader and Co-Founder, Fiduciary Plan Advisors

Advisor sold retirement plans continue to be a critical market for record keepers. In this session, you will hear from three leading retirement plan advisors on how partnerships between advisors and recordkeeping firms can be enhanced. The panel will discuss recordkeeper services that help advisors grow their business,such as support for financial wellness, college loan repayments, dedicated client services and other factors that make recordkeepers standout.

11:30 – 12:20 pm Legislative & Regulatory Update

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

The audience will hear from Washington Insiders, Davis & Harman, on the RESA Bill and legislative and regulatory changes likely to change U.S. retirement rules.