General Inquires
Marlene Jung
860-658-5058
marlene@sparkinstitute.org
PRE-CONFERENCE, SUNDAY, JUNE 14, 2009
1:00 - 8:00 Registration & Exhibitor Set-Up
1:00 - 5:00 Pre-Conference Workshop: Institute of Accredited Rollover Solutions
1:00 - 1:15 Welcome and Introduction to Rollover Management
Spencer Williams, President & CEO, RolloverSystems
1:15 - 1:45 Effects of Legislation on the Rollover Industry and Plan Design
Overview: Analysis of the current legislative environment and the challenges and opportunities created for plan sponsors and fiduciaries. How changes to the foundation of retirement plans can improve plan performance and sponsor experiences.
Richard Carpenter, CBC, CEBS, President & Founder, USVI Pensions and Consulting
1:45 - 2:15 Operational Cost Impacts to Plan Sponsors and TPAs
The opportunity cost to active participants and plan efficiencies of maintaining benefits for terminated employees.
Gregg Wood, COO, DailyAccess Corporation
2:15 - 2:45 Break
2:45 - 3:15 Marketing Programs for Advisor Clients
Discussion of the tools and processes to assist advisors build wealth management practices by leveraging education and communication programs.
Robert Wasky, President of Retirement, Rollover Solutions, LLC
3:15 - 3:45 Participant and Retirement Readiness
Communication strategies to educate and guide participants to a more secure retirement.
Peter Newkirk, President, Newkirk Products
3:45 - 4:00 Break
4:00 - 5:00 Certification and Wrap Up
Sponsored By: RolloverSystems

DAY ONE AGENDA, MONDAY, JUNE 15, 2009
7:30 - 8:30 Registration & Continental Breakfast with Exhibitors
8:30 - 8:45 Welcoming Remarks
Charlie Nelson, President, Great-West Retirement Services & Chairman
The SPARK Institute
Larry Goldbrum, General Counsel, The SPARK Institute
Jamie DeRubertis, Vice President, National Sales Manager,
Matrix Settlement & Clearance Services
8:45 - 9:45 Marketplace Update
The conference will kick-off with the popular Marketplace Update. It will feature presentations by both Bob Wuelfing from RG Wuelfing & Associates, and Sarah Holden from the Investment Company Institute. They will discuss the latest market trends and issues that face the retirement industry in this volatile market.
Bob Wuelfing, President, RG Wuelfing & Associates, Inc.
Sarah Holden Senior Director of Retirement and Investor Research,
Investment Company Institute
9:45 - 10:15 Break with Exhibitors
10:15 - 11:00 Retirement Planning in the Wake of the Financial Crisis
In this presentation, Dr. Kelly provides an update on the short and long term outlook for the economy and financial markets as the US and global economies struggle through a deep recession. He also examines the impact of the recession and the sharp bear market on the retirement assets of Americans, considering how this crisis may change their behavior going forward and looking at steps investors should take in rebuilding their retirement portfolios.
Dr. David Kelly, Chief Market Stategist, JPMorgan Funds
11:00 - 12:15 Regulatory Outlook
During this session, Tom Schendt will discuss with Marty Pippins, Bob Architect and other key regulators, specific guidance initiatives that will impact plan sponsors, recordkeepers, administrators, and financial advisors. In addition, they will outline other guidance that can be expected in future months.
Thomas Schendt, Partner, Alston + Bird LLP
Robert Architect, Senior Tax Law Specialist, IRS
Martin Pippins, Manager - Employees Plans Technical Guidance, IRS
12:30 - 1:30 Lunch
1:30 - 2:30 Changing Participant Attitudes Toward Risk and the Impact on Asset Allocation Strategies
This session will examine how the recent severe market decline is shaping retirement plan participants’ risk tolerance and the resulting impact on asset allocation strategies. The panel will discuss possible changes to QDIAs, target date funds, stable value options and retirement income products.
Hal Ratner, Senior Consultant & Asset Allocation Strategist
Morningstar Associates (Moderator)
Marie Swartzwelder, Vice President – Investment Strategy,
Prudential Retirement
Keith Styrcula, Founder & Chairman, Structured Products Association
Richard Whitney, Head of Asset Allocation Group, T. Rowe Price
2:30 - 3:00 Break with Exhibitors
3:00 - 3:45 SESSION A -- Are you "EASY TO DO BUSINESS WITH": Tips from record keepers on maximizing your asset gathering from open architecture investment platforms.
Cynthia Hayes will moderate a panel of record keepers who offer an open architecture investment platform. This session will be oriented towards helping asset managers understand the best practices for getting shelf space on record keepers platforms, and on maximizing asset gathering opportunities once you are on the platform. It will cover relationship management, recordkeeper and distributor support, contractual items, sales practices, tools, communications, integration, etc...
Cynthia Hayes, CFA, CEBS, Managing Partner, Oculus Partners, LLC
(Moderator)
Steve Cronin, CEBS, Vice President, National Sales Director, Ascensus
Phil De Camara, Director - Institutional Retirement & Philanthropy,
Bank of America/Merrill Lynch
Cheri Moeder, Director - Corporate Communications,
CPI Qualified Plan Consultants, Inc.


SESSION B -- The Elephant in the Room: Meeting the Product and Asset Allocation Challenge for Generating Retirement Income
How investors allocate wealth approaching and during retirement, and what products are used, can have a significant impact on their ability to meet retirement goals. To address these challenges, a retirement income solution needs to combine an overall asset allocation with product specific features into a framework that is dynamic but easy to understand. This presentation will review some of the current approaches to retirement income product and asset allocation and outline important considerations for a next-generation approach. To illustrate these concepts, the case of a typical in-plan insured solution (a generic Guaranteed Lifetime Withdrawal Benefit product) will be analyzed, and product and asset allocation strategies designed to meet the retirement income needs of typical 401(k) investors will be presented.
Christopher O’Neill, Ph. D., CFA, CFP® FRM, ChFC,
Senior Vice President – Investment Strategies, Mesirow Financial

SESSION C -- 403(b) TPA / Vendor Workshop
This will be an interactive session for TPAs and other administrators and investment providers involved in the K-12 education segment of the 403(b) market.  The session will cover challenges and solutions in addressing the new IRS regulations that became effective in January.  Participants will discuss the effect of the new rules on their businesses, outline required adjustments to business models and workflows, and share recommendations for meeting compliance requirements.  Information sharing best practices and other relevant issues also will be convered in the workshop.
Ralph DelSesto, National Director, TPA Strategy, ING

SESSION D -- Structuring the sale of your TPA
Whether you are looking to sell in 2009 or in five years in the future, the steps you should be taking today are the same. This session will focus on both the buyer and seller perspectives.
John Guido, Division Vice President - Strategy & Marketing,
ADP Retirement Services
3:45 - 4:45 Advisors in Transition: Making the Shift to a Fee-Based Model
This session will discuss the process of a trail-based broker becoming a fee for service broker / advisor. We will identify the pros & cons, the pitfalls, the best tools, and how investments are chosen.
Cynthia Hayes, CFA, CEBS, Managing Partner, Oculus Partners, LLC
(Moderator)
Jason Chepenik, CFP®, AIF®, PRP, Managing Partner,
Chepenik Financial an NRP Firm

Jim Phillips, President, Retirement Resources Investment Corporation
Mike Chisnell CFP®, AIF®, Director - Investment Services, ValMark Securities, Inc
4:45 - 7:00 Reception with Exhibitors

DAY TWO AGENDA, TUESDAY, JUNE 16, 2009
7:30 - 8:00 Continental Breakfast with Exhibitors
8:00 - 9:00 The US Retirement System - Outlook for the Future
Deloitte Consulting will discuss the latest trends related to Defined Contribution Fees and Disclosure and their implication to the future of the industry. Specifically, the presentation will address how the renewed focus on fees may shape the future of the 401k industry including who pays, how they pay and what this means to the retirement service provider.
Daniel Rosshirt, Principal, Deloitte Consulting LLC
Scott Parker, CFA, Senior Manager, Deloitte Consulting LLC
9:00 - 10:00 Survival of the Employer-Based Retirement System
In the wake of the recent decline in the financial markets, critics in Washington, the media and academia have been attacking the employer-based retirement plan system – especially 401(k)s – as a flawed vehicle for workers to accumulate retirement savings. In this session, a panel of industry leaders will address the charges against the system and discuss ways in which the industry is challenging its critics with facts about the success of employer-based plans.
Larry Goldbrum, General Counsel, The SPARK Institute (Moderator)
Barbara March, Executive Vice President, Workplace Investing,
   DC Plan Services
Fred Teufel, Principal, The Vanguard Group
John Kalamarides, Senior Vice President, Retirement Solutions,
Prudential Retirement
10:00 - 10:30 Break with Exhibitors
10:30 - 11:15 SESSION A -- Integrating Insured Solutions into 401(k)s
The recent market volatility and decline have created increased interest among participants and sponsors for insured investment solutions within their defined contribution plans. In this session, a panel of record keepers will discuss important considerations around this topic, including: the different product types available, what a record keeper needs to consider when implementing an 'in plan' insured product, how long it takes, different integration levels to consider, the tools are available for the advisor/consultant that bring clarity to the selection of an insured solution.
John Rowe, National Director, Institutional Business - Strategic Alliances,
MetLife (Moderator)
Jude Metcalfe, President, DST Retirement Solutions
Elizabeth Heffernan, Vice President, Product Management for Personal and
Workplace Investing (PWI), a unit of Fidelity Investments
Eric Levy, Retirement Business Leader, Mercer

SESSION B -- Business Impact of New Retirement Regulations: 403(b), RMDs, 5500 Schedule C
In this session, a panel of industry experts will discuss best practices for implementing operational changes that will be required to accommodate new retirement plan regulations. The panel will address the impact of such regulations as those affecting 403(b) plans, Required Minimum Distributions and Schedule C of the 5500 form.
Larry Goldbrum, General Counsel, The SPARK Institute (Moderator)
Marilyn Collister, Senior Director, Legislative & Regulatory Affairs,
Great-West Retirement Services
Joan McDonagh, Senior Director, Legislative & Regulatory Affairs,
Great-West Retirement Services
11:15 - 11:30 Break / Check-Out
11:30 - 12:30 Washington Update
With the Obama Administration up and running, Steve Saxon will outline the major retirement initiatives the Administration and Capitol Hill will be focusing on from a policy and legislative standpoint. In this session, he will also focus on the major class action litigation affecting plan service provider fees and investments, including the Madoff suits.
Steve Saxon, Principal, Groom Law Group
12:30 - 12:45 Closing Remarks
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