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2021 ASPPA Winter Symposium

Introducing ASPPA's Winter Symposium!

Winter Symposium offers in-depth, technical education for seasoned professionals who provide consulting services for clients and prospects. It offers a deep dive into the application and implementation of ERISA rules, covering such topics as plan design, distribution planning, EPCRS filings and ethics. You’ll also have an opportunity to seek answers to your most pressing questions during our Ask the Experts session.

Join us December 6-7, 2021 to get the training you need to interact effectively with clients and provide them with the specialized expertise they need while enhancing your ability to forge new relationships and grow your practice. 

Registration Closes December 3.




Topics are intended to be consultative in nature so are intended for practitioners who are intermediate to advanced in knowledge of ERISA rules .


Agenda - (Day 1: December 6)

Session 1: Getting the Most out of Year End Plan Reviews

12:00 p.m. - 1:00 p.m. ET

Year-end plan reviews are just around the corner. This session will help you identify who should be there and what to focus on during the presentation. You will also get tips on how to keep the meeting on track and some of the questions to anticipate.

Takeaways will include:

  • Who should be invited to the review and how to set the agenda?
  • What questions to anticipate from the various attendees
  • How to keep the session on track

Speaker: Missy Matrangola, Esquire, QKA, QPA, Consultant, Atlantic Pension Services, Inc.

Continuing Education: 1.2 ASPPA, NAPA, NTSA, PSCA, ERPA

Session 2: The Ins and Outs of an EPCRS Filings

1:10 p.m. - 2:10 p.m. ET

This session will focus on the internal process when using the EPCRS program. Which service providers should be included in the discussions and how the decision to submit or self-correct will be discussed. The speaker will use case studies to emphasize key points in the process.

Takeaways will include:

  • Key points in making the determination to self-correct or use the VCP program
  • How and when other service providers need to be included in the correction
  • When to recommend changes to the practices and procedures of the plan’s administration to prevent future issues

Speaker: Ilene H. Ferenczy, Esq, APA, Managing Partner, Ferenczy Benefits Law Center

Continuing Education: 1.2 ASPPA, NAPA, NTSA, PSCA, ERPA, and JBEA Core

Session 3: Plan Design: Which is the Right Plan for Your Prospect

2:20 p.m. - 3:20 p.m. ET

With so many types of plans and features to choose from it is suggested that we stay away from the “one-size-fits-all” plan design.  Using case studies, this session will take the data and objectives of several prospects and design a plan or plan(s) for them.

Takeaways will include:

  • When a DB/DC combo may be appropriate for the employer
  • The time to recommend auto enrollment for deferral plans
  • How the decision to use permitted disparity or cross testing can help maximize benefits in the plan

Speaker: Lynn M. Young, EA, FSEA, Partner/Consulting Actuary, Pinnacle Plan Design, LLC

Continuing Education: 1.2 ASPPA, NAPA, NTSA, PSCA, ERPA, and JBEA Core

Session 4: Another Fine Mess – Case Studies in Ethics for ARA Members

3:30 p.m. - 4:30 p.m. ET

Service providers sometimes find themselves questioning whether ethics violations have occurred when reviewing plan operations.This session will use case studies to help identify situations where action needs to be taken to avoid or correct a potential violation of a code of conduct.

Takeaways will include:

  • Using the ARA Code to identify ethical challenges we may be presented with
  • How to report code of conduct violations to the ARA
  • Who is covered by the ARA code of conduct?

Speaker: Kizzy Gaul, J.D., CPC, TGPC, ERISA Attorney, Ascensus

Continuing Education: 1.2 ASPPA Ethics, NAPA Ethics, NTSA Ethics, PSCA Ethics, ERPA Ethics, JBEA Core and Ethics

Agenda - (Day 2: December 7)

Session 5: Plan Design: MEPs, PEPs and GOPs

12:00 p.m. - 1:00 p.m. ET

Practitioners now have more “arrows in their quivers” when it comes to plan design. This session will review the latest information that we have on these types of group plans and why you might consider one for your clients.  The speaker will also discuss who might be a good candidate for each type.

Takeaways will include:

  • Which employers are candidates for using a MEP, PEP or GOP?
  • What are the differences in each of these groups of plans?
  • When your client might be better off staying as a stand-alone plan

Speaker: Craig Hoffman, APM, Attorney/Senior Consultant, Nova 401(k) Associates

Continuing Education: 1.2 ASPPA, NAPA, NTSA, PSCA, ERPA, and JBEA Core

Session 6: Distribution Planning: Know your Options

1:10 p.m. - 2:10 p.m. ET

While much of the focus for retirement planning is on accumulating assets and benefits, more attention is now being paid to the decumulation phase.  This session will review the options that plans have for including as distribution options and products. See which ones may be the right fit for your clients and prospects.

Takeaways will include

  • What types of plans should consider using in plan annuity and QLAC options.
  • What type of education should participants receive about distributions
  • How rollovers to IRAs will be affected by the recent DoL guidance

Speaker: Kelsey Mayo, Attorney, Employee Benefits, Poyner Spruill LLP

Continuing Education: 1.2 ASPPA, NAPA, NTSA, PSCA, ERPA, and JBEA Core

Session 7: The Long and the Short of It: Long-Term, Part-Time Employees

2:20 p.m. - 3:20 p.m. ET

With a major change coming in the eligibility rules for 401(k) plans, it is not too early to start planning (and collecting data) for employees who fall into this category.  This session will discuss the impact on plans and what plan designs may be impacted by the new category of eligible employee.

Takeaways will include:

  • What current plan designs will be impacted by the new rules and when
  • What options in plan design employers have when including these employees as participants
  • Why you need to start collecting data NOW and having discussions with plan sponsors about the coming changes

Speaker: Stephen W. Forbes, J.D., LL.M., ERISA Attorney, Educator, Consultant, Forbes Retirement Plan Consulting

Continuing Education: 1.2 ASPPA, NAPA, NTSA, PSCA, ERPA, and JBEA Core

Session 8: Ask the Experts

3:30 p.m. ET - 4:30 p.m. ET

The topics in this symposium may create many questions for attendees. This session will be a Q&A on the topics covered. Please submit your questions in advance of the conference or at any point during the two days of sessions. The panel will get to as many of the questions as possible.

Moderator: Robert Richter, Retirement Education Counsel, American Retirement Association

Panelists: Kizzy Gaul, J.D., CPC, TGPC, ERISA Attorney, Ascensus; Kelsey Mayo, Attorney, Employee Benefits, Poyner Spruill LLP; and Lynn M. Young, EA, FSEA, Partner/Consulting Actuary, Pinnacle Plan Design, LLC

Continuing Education: 1.2 ASPPA, NAPA, NTSA, PSCA, ERPA, and JBEA Core


ASPPA Winter Symposium Pricing

Member Price


Non-Member Price



Continuing Education:

ASPPA Members

The 2021 ASPPA Winter Symposium Conference offers up to 8.4 hours of ASPPA CE credit and up to 1.2 hours of ASPPA Ethics CE. 


Actuaries (JBEA Credit)

Up to 8.4 JBEA Core CE and 1.2 JBEA Ethics CE are available for attendees. Up to 8.4 JBEA Formal CE will be awarded for live attendees only.


Enrolled Retirement Plan Agents (ERPA Credit)

Attendees can earn up to 8 ERPA CE credits and 1 ERPA Ethics CE by attending the ethics session. We will report your CE directly to the IRS using the PTIN we have on file. If you are a new ERPA who has not participated in a previous ASPPA event, please email [email protected] with your PTIN and we will add it to your profile. 

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