Day 1 - Tuesday, November 17, 2015

Registration and Continental Breakfast
Co-Chairs’ Welcoming Remarks

Wendy Katherine Von Wald
Fiduciary Product Manager

Maureen J. Gorman
Mayer Brown LLP

In-House Best Practices for Fiduciary Compliance, Avoiding Faulty Plan Documents and Aligning Plan Documents With Plan Administration

Lori A. Meaders
Senior Attorney
Southern California Edison Company

Daniel Gallagher
Assistant General Counsel
ACE American Insurance Company

Bradley Schlichting
Senior Counsel
Wells Fargo & Co.

Eric Powers
Vice President, Associate General Counsel and Assistant Corporate Secretary
Crawford & Company

Renata Pompa
Vice President & Corporate Counsel, ERISA/Benefits
The Prudential Insurance Company

Zack Osborne
Assistant General Counsel
United Technologies Corporation

Ron Peppe
Vice President Legal & Human Resources
Canam Steel Corporation

Brian P. Madrazo
Senior Corporate Counsel
Paychex, Inc.

Panel Moderator TBA.
Check back for this and other exciting speakers being added

  • Reviewing and updating the governing documents, including the allocation of fiduciary responsibility provisions
  • Properly handling benefit claims and appeals, including the administrative record
  • Proper maintenance of other ERISA fiduciary practices and procedures, including treatment of plan expenses
  • Best practices for retention of plan vendors and assignment of responsibilities
  • Best practices for selection of investment options under 401(k) plans

Morning Networking Break
Special Address

Don Kieffer
TE/GE Employee Plans
Internal Revenue Service

Regulatory Enforcement Priorities: IRS/Treasury, DOL, EEOC and PBGC Developments

William D. Jewett
Ropes & Gray LLP

Caroline J. Berdzik
Partner, & Chair of Healthcare Practice Group
Goldberg Segalla (Princeton, NJ)

Allison R. Klausner
Assistant General Counsel, Benefits
Honeywell International Inc.


  • The Determination Letter Program: the coming scale-back and its implications
  • Revisions to the Employee Plan Compliance Resolution System
  • The Voluntary Closing Agreement Program (VCAP): Income Tax Relief for Participants


  • The DOL’s new proposed rules defining fiduciary status, investment advice and the potential implications:
    • The delineation of categories of advice that could be considered fiduciary conduct
    • Carve-outs from the definition of investment advice
    • New and amended prohibited transaction exemptions


  • The EEOC’s proposed wellness regulations:
    • The ADA’s exception for voluntary programs that involve disability-related inquiries or medical exams
    • Incentives and rewards under wellness programs
    • Requirements for a wellness program to be considered voluntary


  • The PBGC: What’s new for practitioners?
  • 2015 premium rates
  • Benefit restrictions and the present value of the maximum guarantee
  • The effect of HAFTA on Section 4010 filings
  • Information gathering with respect to de-risking activity
  • Standard and Distress Termination Forms and Missing Participants Forms and Instructions

Best Practices to Prepare and Protect Your Plan During a DOL Audit

R. Bradford Huss
Trucker Huss, APC

David Levine
Groom Law Group Chartered

Stefan P. Smith
Locke Lord LLP

  • The opening letter
  • Document production and audit management
  • Negotiation and assessment of liabilities

Networking Lunch for Delegates and Speakers
Pension De-Risking and the PBGC

Julia Ann Love
Thompson Hine LLP

Elliot Raff
Assistant General Counsel, Executive Comp. & Benefits
Sears Holdings Management Corporation

  • Update on de-risking activity
  • Developing disclosure requirements
  • New PBGC requirements
  • ERISA Advisory Counsel views
  • State law proposals

Employee Benefits Implications of Supreme Court Decision on Same-Sex Marriage

Todd A. Solomon
McDermott Will & Emery

Mary Jo Anderson
Corporate Counsel, Labor & Benefits Group

Yolanda Montgomery
Deputy Director and Associate Counsel
SEIU Benefit Funds

Keith L. Thornton
Assistant General Counsel – Employee Benefits
Bank of America

  • The impact of Obergefell decision on sponsors of qualified plans and health and welfare plans in states that previously banned gay marriage.

Afternoon Break
The Affordable Care Act: Managing Employee Benefit Compliance and Minimizing Risk

Michael J. Nader
Faegre Baker Daniels LLP

Joy M. Napier-Joyce
Office Managing Shareholder (Baltimore)
Jackson Lewis P.C.

  • The Patient Protection and ACA provisions all employers need to be aware of
  • The Supreme Court’s decision and the impact on government subsidies for states under the federally run marketplace (implications for employers)
  • New reporting requirements (Forms 1094-C and 1095-C)
  • Updates on The Federal Mental Health Parity and Addiction Act
  • EEOC concerns and discrimination allegations
  • Best practices for risk mitigation
  • Workforce Realignment Litigation Risks
    • Employee misclassification
    • ERISA 502(a)(3) Actions to Enforce Substantive ACA Mandates
    • ERISA 510 claims
    • Traditional labor risks

Correcting Plan Errors: Compliance Resolution Programs and How to Mitigate Exposure

Nancy Furney
Winstead PC

David A. Guadagnoli
Sullivan & Worcester LLP

Alicyn Gilbert
ERISA and Executive Compensation Counsel
Credit Suisse

  • The use of correction programs to fix retirement plans and revised EPCRS requirements
  • When to use which program and the benefits of each
  • When to report to the DOL
  • When to self-correct

Health and Welfare Benefit Plan Preparation and Compliance

David Kritz
General Attorney - Benefits & Compensation
Norfolk Southern Corporation

Mark L. Stember
Kilpatrick Townsend & Stockton LLP

  • Ethical obligations
  • Cafeteria plans
  • Cadillac tax planning
  • Wellness plans
  • Retiree medical

Conference Adjourns to Day Two

Day 2 - Wednesday, November 18, 2015

Continental Breakfast
Fiduciary Liability v. Employee Benefits Liability

Ed Berrios
Assistant Vice President and Regional Claim Technician
Chubb & Son, a division of Federal Insurance Company

Peter M. Kelly
Chief Employee Benefits Counsel
Blue Cross Blue Shield

Stephen D. Rosenberg
The Wagner Law Group

Al Otto
Shepherd Kaplan LLC

Fiduciary Liability

  • How to reduce risk of violating fiduciary duties when running retirement plans
  • Defining roles and proper training
  • Working with third-party administrators (TPA) to reduce plan administrative fiduciary liability
  • IRS amendment maintenance


  • Endorsements designed to cover administrative errors and omissions

Overpayments and Underpayments of Benefits

Maureen J. Gorman
Mayer Brown LLP

R. Joseph Barton
Cohen Milstein Sellers & Toll PLLC

Susan Katz Hoffman
Littler Mendelson P.C.

Rafael J. Droz
Vice President, Claims, Financial Lines

  • Correction of qualification violations under revised EPCRS procedures
    • Developing caselaw of equitable relief
    • Employer exposure
    • Tax relief for participants under Voluntary Closing Agreement Program (VCAP)

Morning Coffee Break
Fiduciary Liability Insurance: Assessing Current Coverage and Future Needs

James E. Scheuermann
K&L Gates LLP

Wendy Katherine Von Wald
Fiduciary Product Manager

Cathy Cummins
Managing Director

Rhonda Prussack
Heady of Fiduciary and Employment Practices Liability
Berkshire Hathaway Specialty Insurance

  • Strategic Considerations When Fiduciary Insurance Is Involved
  • Assessing your needs and ensuring proper coverage: Key terms and conditions and common coverage disputes; Key exclusions; Insurance issues that arise when service providers (TPAs, record keepers, etc.) are involved
  • Typical policy provisions and the issues they raise, and strategic considerations that arise as a result
  • Coverage issues under ERISA fiduciary liability insurance
  • What’s currently being covered and not covered in fiduciary liability policies? Coverage extensions?
  • Indemnification and liability insurance coverage options for ERISA fiduciaries
  • ERISA fiduciary liability insurance negotiation, placement and underwriting issues

Independent Fiduciaries: Working with Them to Reduce Risk

Myron D. Rumeld
Proskauer Rose LLP

Margo Hasselman
Renaker Hasselman LLP

  • Why you should hire an independent fiduciary and when you should retain their services.
  • Examples of Roles and accountabilities they are responsible for when engaged:
    • ESOP and other defined contribution plans
      • Employer stock generally
      • Mergers and acquisitions
    • Defined Benefit Plan
      • De-risking
      • In-kind contributions
  • Health and welfare plans
  • Compliance reviews
  • Liability audits
  • Outside trustees obtaining information from the insider

Excessive Fees: Claims Against Fiduciaries

Robert M. Carmen
Senior Complex Claims Director

Richard N. Bien
Lathrop & Gage LLP

Nicole A. Diller
Morgan, Lewis & Bockius LLP

Bret F. Busacker
Holland & Hart LLP

  • The Tibble decision
  • The impact of fees on defined contribution balances
  • The Exclusive Benefit Rule and what “reasonable fees” are
  • The Prohibited Transaction Exemption
  • Fee models and revenue sharing
  • Case Law Review
    • Key issues and basic claims
    • Fiduciary status of service providers
    • Definition of plan assets

Employee Benefits for Contingent Workers

Sharon Goldzweig
Associate Counsel
Consolidated Edison, Inc.

Brandon P. Long
McAfee & Taft

  • Regulatory developments concerning employee benefits for contingent workers
  • Use of contingent workforce and its impact on employee benefit plans
  • ACA penalties
  • Use of ACA safe harbor to avoid penalties, and open issues
  • Allocating risk to staffing agencies via indemnification provisions

Conference Ends