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Independent Third Party Audits – Why a 403(b) Audit is not a 401(k) Audit

  • 02 Nov 2016
  • 10:00 AM - 11:00 AM (PDT)
  • Online Webinar

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ONLINE WEBINAR

Please note: Unfortunately, one of our presenters for the September 20th webinar has an urgent family matter to attend to that day. As a result, we are going to re-schedule the webinar to Wednesday, November 2 at 10am Pacific Time.  
 
You will automatically be registered for the November 2nd webinar unless we hear from you. If this new date does not work for you, we would be happy to issue a refund.

Independent Third Party Audits – Why a 403(b) Audit is not a 401(k) Audit

Evan Giller of Boutwell Fay LLP and Bob Toth of the Law Office of Robert J. Toth, Jr., LLC will present, “Why a 403(b) Audit is not a 401(k) Audit." The webinar will examine some of the principal differences between 403(b) and 401(k) plans relevant to the independent plan audit process, operational errors that can arise and correction programs available to 403(b) Plans.
Presentation topics include:
  • Eligibility for a 403(b) Plan;
  • The universal availability requirement;
  • Special 403(b) Plan limit rules;
  • The 403(b) ERISA safe harbor;
  • Operational issues with loans and hardship distributions;
  • Working with annuity contracts and custodial accounts;
  • “Grandfathered” contracts;
  • Correction programs available to 403(b) Plans.

About Our Presenters

Evan Giller of Boutwell Fay LLP has worked in the field of employee benefit law and ERISA for over 25 years, specializing in the retirement and deferred compensation plans of tax-exempt organizations, governmental employers and churches and church-controlled organizations.  He has extensive experience advising employers and plan service providers on a wide range of retirement plan issues, including plan design, plan documents, operational issues, corrections and fiduciary responsibility, and has particular expertise regarding 403(b) and 457 plans.  In addition, Evan’s practice includes advising financial institutions on issues relating to the design and regulation of annuity products, in particular annuities used to fund retirement plans. 

Robert Toth of the Law Office of Robert J. Toth, Jr., LLC, has practiced employee benefits law since 1983. His practice focuses on the design, administration and distribution of financial products and services for retirement plans, one which combines elements of ERISA, tax law, insurance law, securities law and investment law for both 401(a) and 403(b) plans. Bob’s experience includes the design of multiple employer plans; implementing 403(b) programs under the new regulations; designing investment products for 401(k) plans; annuitization programs for defined contribution plans; advising on prohibited transactions issues related to retirement plan products and services and their distribution, development of open architecture programs for 403(b) plans and writing and implementing standards for fiduciary and advisory practices.

 
The webinar will provide one continuing education credit for  for ASPPA, NIPA, JBEA, ERPA, MCLE CA, CPA CE for CA and OR.

Members are $35, Nonmembers are $50.
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