6a. ALL – The Business of Workplace Retirement Plans


Governmental and private sector retirement plans come in many different types with a myriad of potential partners, from record keepers, to third party administrators to financial advisors, to 3(16) providers, and more. In this session, the panelists will discuss the types of retirement plans, how advisors are involved, and the compliance requirements involved when offering services to retirement plans.
Learning Objectives:
• Discuss the different types of Retirement Plans including defined benefit, 401(k), 403(b), 457, Cash Balance, Top Hat, MEPs and PEPs
• Understand who the client is – the plan or the participant
• Gain an understanding of how the representative/adviser may provide services to plan sponsors, fiduciaries and participants
• Best Practices for supervising advisors who provide services to retirement plans

Basic                        Program Level: Panel Date: November 9, 2021 Time: 11:30 am - 12:30 pm Adina Dorch Joan Neri Jason Roberts

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