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Electronic Notices: Fee Disclosure and Beyond
Presentor: Derrin Watson Recorded Date: 10/10/2012 Duration: 100 Min.


This program was recorded during a live presentation on October 10, 2012.

They haven’t made it easy on us. The IRS has two systems for electronic disclosures. The DOL has at least three, and sometimes borrows the IRS rules. When and how can you use electronic disclosure for:

  • annual fee disclosure,
  • quarterly fee disclosure,
  • participant benefit statements,safe harbor notices,
  • QDIA notices,
  • SAR distribution,
  • SMM and SPD distribution,
  • distribution notices, and
  • QJSA forms?
This seminar helps make sense of the rules. Learn when prior consent is needed and when a web site will do, when you can charge for paper copies, and what rules apply in each situation. Plus, for additional reference, attendees are provided with two detailed newsletters explaining all of the rules in depth.

Prerequisites: There are no prerequisites or other advanced preparation. The speaker will assume that attendees have a basic understanding of the types of notices a 401(k) or other qualified plan might need to provide to participants under the Code or ERISA.

Level: Intermediate

Instructional Delivery Method:
Recorded playback of a live presentation.

S. Derrin Watson, J.D., APM
Recipient of ASPPA's 2006 Educator of the Year Award

Objectives: After attending this presentation an attendee should be able to:

  1. Apply the DOL notice rules in different situations
  2. Apply the IRS notice rules in different situations
  3. Determine when a DOL notice can be provided under IRS rules
  4. Apply the special DOL rules for participant fee disclosure

Hardware System Requirements:

  • Windows 95, 98, NT 4.0, 2000, XP, Windows 7
  • Internet Explorer 4.01 or later, Netscape 4.08 or later, and set Internet browser to allow pop-up windows.
  • High-speed Internet connection.
  • Pentium 166+ MHz, 128MB RAM or more.
  • 1023 x 768 or higher display resolution.
  • Soundcard and Speakers.

Software Requirements:

Recorded Event Time Limitation:
This recorded event will be available for 20 days from your date of registration.

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