[10401]
VIA FAX
October 28, 1998
TO: PENSION COMMITTEE No. 73-98
PENSION OPERATIONS ADVISORY COMMITTEE No. 55-98
RE: ICI's 1999 RETIREMENT PLANS CONFERENCE -- CONFERENCE CALL
TO DISCUSS PROGRAM
______________________________________________________________________________
The Institute’s 1999 Retirement Plans Conference will be held March 3-5 in New Orleans. We
have scheduled a conference call on Monday, November 2 at 4 p.m. EST to discuss the conference
program. A draft program is attached for your review.
If you would like to participate in the call, please fax this response sheet to Theresa Brice at
(202) 326-5841. If you are unable to participate in the call, please feel free to call me (202) 326-5835 or
Kathryn Ricard (202) 218-3563 with your suggestions and comments.
Russell G. Galer
Senior Counsel
Attachment
ATTENDANCE RESPONSE FORM FOR CONFERENCE CALL ON
1999 Retirement Plans Conference
Monday, November 2, 1998 - 4:00 p.m. EST
Please fax this form by Friday, October 30, 1998 to Theresa Brice at 202-326-5841.
Yes, I will participate in the Conference Call regarding the 1999 Retirement Plans
Conference on Monday, November 2, 1998 at 4:00 p.m. EST. To participate in the
call, dial 1-800-523-5415 and ask for the "Retirement Plans Conference" call.
COMMITTEE MEMBER - COMPANY
DRAFT DRAFT DRAFT
Retirement Plans Conference
March 3-5, 1999
New Orleans, Louisiana
DAY ONE - Wednesday, March 3, 1999 (Registration)
DAY TWO - Thursday, March 4, 1999
I. Introductory Remarks 8:30-8:45
II. Keynote Speaker 8:45-9:30
III. Participant Asset Allocation Behavior In 401(k) Plans 9:30-10:45
Topics: + ICI-EBRI Participant Data Project: Initial Findings
+ Lessons For Plan Design
+ New Directions For Educational Programs?
BREAK: 10:45-11:00
IV. Delivering Investment Advice to Participants: Legal Issues 11-12:15
Topics: + Structuring Relationships With Intermediaries
+ Recent DOL Exemptions
+ Information, Education and Investment Advice:
What Do Participants Need?
What Are Employers Willing To Deliver?
LUNCH: 12:15-1:15
Possible Speaker Topics: Public Plan Developments
Retirement Plan Trends
Social Security Reform
V. Concurrent Sessions 1:30-2:15
403(b) and 457 Plans: Basics
Topics: +The Basics Of 403(b)s and 457s
+ MEAs and Other Contribution Rules
+ Distribution Rules
+ Hold Harmless Agreements
401(k) Plan Issues
Topics: + Automatic Deferrals
+ Loan Processing via Voice Response Systems
+
+
VI. Retirement Plans On the Intranet and Web 2:30-3:45
Topics: + Capabilities and Limitations
+ IRS and DOL Guidance
+ Conducting Transactions
+ Delivering Retirement Plan Education
+ The Dos and Don'ts of Retirement Plan Website Design
DAY THREE – Friday, March 5, 1999
I. Informal Breakfast Discussion Groups (Institute Members Only) 7:30-8:30
Topics: + Roth IRAs
+ Education IRAs
+ IRA Distributions
+ Using the Web for 401(k) Plan Administration
+
II. Legislative and Regulatory Update 8:40-9:55
Topics: + Prospects For 1999
+ DOL Update
+ IRS Update
BREAK- 9:55-10:10
III. Concurrent Sessions 10:10-11:25
Small Employer Plans
Topics: + Administrative Issues
+ SIMPLE Plans
+ Addressing Obstacles To Plan Formation
Electronic Transfer of Retirement Assets: NSCC Platforms
Topics: + Transferring IRA Assets
+ Transferring 401(k) Assets
+ Recent Systems Enhancements
IV. The Roth IRA Program – One Year Later 11:30-12:45
Topics: + Roth IRA Program Demographics
+ Conversion Roth IRAs
+ IRS Guidance
LUNCH 12:45