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Top 10 Compliance Issues for DC Plans...Cycle 3 and a Look Ahead

  • 17 Aug 2022
  • 10:00 AM - 11:40 AM (PDT)


  • A member of any chapter of the WP&BC in good standing.

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The Governing Board of

WP&BC presents


Top 10 Compliance Issues for DC Plans...Cycle 3 and a Look Ahead

Presented by:

Christine Richardson, Partner, Pillsbury


Mark Jones, Partner, Pillsbury

Wednesday, August 17, 2022

10:00 AM to 11:40 AM PDT

Continuing Education Credits Available! 


Early Bird (through August 10)
65 for members, $90 for non-members 


 $90 for members, $115 for non-members  

The Presentation

Description:  As most plan sponsors know, the window (known as “Cycle 3”) for adopting restatements of pre-approved defined contribution plans closed on July 31, 2022.  Now that this period has closed, there are new laws to take into account, including the SECURE Act, the CARES Act and more recent legislation.  Employers and administrators have the opportunity to review their plans with fresh eyes to address any compliance failures and identify discretionary amendments that they may want to adopt.  This presentation will discuss common compliance errors identified during Cycle 3, how to correct them, practical suggestions to avoid their reoccurrence, and what discretionary amendments are available.  We will also discuss a new pilot program that the IRS announced giving employers an opportunity to self-correct failures of plans identified for audit without sanction.  Finally, we will preview changes in law that employers and administrators should know about.

Learning objectives:

  • Identify common compliance errors noted in Cycle 3
  • Discuss how to identify and correct errors before audit
  • Strategize about discretionary plan amendments 
  • Mitigate risk by separating out fiduciary functions
  • Learn about recent changes to the IRS audit program
  • Preview potential changes in law that affect plan design and administration

Our Speakers

Christine L. Richardson



Christy Richardson focuses her practice on employee benefits and executive compensation, with an emphasis on mergers and acquisitions, retirement plans, and health and welfare benefit programs.

Christy advises clients on all aspects of employee benefits, including drafting, designing and implementing, as well as handling operational, compliance and strategic planning considerations related to tax-qualified plans, such as 401(k) plans; non-qualified deferred compensation programs; health and welfare benefit plans encompassing wellness programs, reimbursement accounts (FSAs, HSAs and HRAs), severance programs, cafeteria plans; fringe benefit plans; bonus programs; and advice related to the Internal Revenue Code, ERISA, Affordable Care Act, WARN Act, HIPAA and COBRA compliance issues. Christy has extensive experience advising plan fiduciaries on their obligations, including establishing governance procedures, mitigating risks and participating in fiduciary committee meetings. Christy also frequently negotiates contractual arrangements to effectuate benefits arrangements with outside vendors.

Mark Jones 



Pillsbury partner Mark Jones is a recognized authority in the design and administration of compensation and benefit programs for senior executives and other employees.

Mark provides strategic counsel to public and private corporations and senior executives on deferred compensation, stock awards, retirement benefits and severance pay. He has particular experience with international compensation, banking regulations and California blue sky laws. Mark frequently handles executive compensation and employee benefit issues that arise in M&As, spinoffs, IPOs and financings.

Continuing Education:

  • 2 CE for AIF (pending)
  • 2 CE for CEBS
  • 2 CE for CFP (pending)
  • 2 CEC for ERPA 
  • 2 CEC for JBEA
  • 2 CPE for ASPPA certifications
  • 2 CEC for NIPA certifications
  • 2 hour for California CPAs 
  • 1.5 hours of California MCLE
  • 2 CEC for CRPS 


  • Early Bird (through August 10): $65 for members, $90 for non-members 
  • Regular: $90 for members, $115 for non-members  

A Special Thank You to Our Sponsor!

Please feel free to reach out to WP&BC with any questions.

Direct Questions To:




PO Box 13
Parker, CO 80134

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