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Fundamentals 15: Participant Disclosure [2016]
Date: 7/11/2016 Start Time: 12:00 PM (ET) Duration: 60 Min.

Description

Do you need to train someone new? Do you need to brush up on the basics, or to fill in gaps in your knowledge? Our Fundamentals Series may be just what you need. 16 convenient 1-hour web seminars provide the information a pension practitioner needs to function effective in the modern 401(k) world. Pick and choose the topics you need, or participate in the entire series: the choice is yours. Our standard pricing has been discounted to make attendance to all sessions in this series more cost effective. The series will cover the following:

  • Fundamentals Series 01: Eligiblity
  • Fundamentals Series 02: Vesting
  • Fundamentals Series 03: Compensation and HCEs
  • Fundamentals Series 04: Coverage test (ratio percentage only)
  • Fundamentals Series 05: Elective deferrals - including 402(g), automatic enrollment, distribution restrictions
  • Fundamentals Series 06: ADP/ACP test
  • Fundamentals Series 07: Safe Harbor 401(k) Plans
  • Fundamentals Series 08: Nondiscrimination Testing
  • Fundamentals Series 09: 415 and deduction limits
  • Fundamentals Series 10: Top-heavy
  • Fundamentals Series 11: Controlled Groups
  • Fundamentals Series 12: Participant Loans
  • Fundamentals Series 13: Taxation: Roth
  • Fundamentals Series 14: Fiduciary requirements; Reporting and Disclosure
  • Fundamentals Series 15: Participant Disclosure
  • Fundamentals Series 16: Distributions

Fundamentals Series 15: Participant Disclosure

The array of paperwork (or its electronic equivalent) that a plan needs to provide to participants can be staggering. But all of it is necessary as often there are hefty penalties to pay if they aren’t delivered. This program introduces you to the required disclosures, including when to give them, to whom to give them, what they contains, and the penalties for failure. Notices include:

  • Summary of material modifications
  • Summary annual report
  • Benefit statement
  • Investment disclosures
  • Blackout notice
  • Notice of benefit reduction
  • Automatic enrollment notice
  • QDIA notice
  • Safe harbor/EACA/QACA Notice
  • Distribution paperwork
Prerequisites:

There are no prerequisites or other advanced preparation for this program. No prior experience needed.

Level: Beginning.

Instructional Delivery Method
Group – Internet-Based

NASBA Field of Study: Taxes

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

Objectives: After attending the program you should be able to:

  • List some of the key forms and notices plans must provide
  • Describe key content items for those notices
  • Help employers to provide the notices on a timely basis

How to participate

You will need a phone (speakerphone, for multiple participants sharing the Primary registrant’s authorized connection) and Internet Access. The graphics presentation and illustrations will be viewed via the Primary registrant’s Web connection, while the speaker audio portion will be via the Primary registrant’s telephone. Select the "Fees" link on the right side menu of this page for more information about who is authorized to connect to the program, and for the cancellation/transfer policy.

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