• Sunday, May 3, 2020
  • 9:00 am - 5:00 pm
    Registration
  • 10:00 am - 5:00 pm
    Pre-Conference Tutorial
    Understanding Your Fiduciary Obligations Under ERISA
    Michael E. Falcone, NFP
    Christian D. Hancey, J.D., Nixon Peabody LLP
    Kate U. Saracene, J.D., Katten
    View Details

    This intensive, six-hour tutorial provides a comprehensive look at the fiduciary duties and obligations of retirement and healthcare plan sponsors. A team of highly respected ERISA experts covers issues ranging from the basic rules and regulations governing fiduciary responsibility to a more advanced look at contemporary and unfolding issues.  Among the retirement plan topics explored are Fiduciary Committee formation and governance, investment and fiduciary consulting models, selecting non-financial service providers, investing plan assets, using plan assets to pay expenses and current fiduciary litigation. Additional health plan topics include health plan contracting and oversight, notice and disclosure requirements, and a basic legal compliance primer.

    Speakers:

    Michael E. Falcone, NFP

    Michael E. Falcone
    Vice President, East Region
    NFP

    Michael Falcone is the vice president of the east coast retirement consulting practice for NFP, where he guides plan sponsors and their participants to financial wellness and long-term success. Part of NFP since 2007, Mr. Falcone has more than 25 years of experience in qualified plan design, investment due diligence, funding and participant communication. Previously he was a retirement consultant for Aon Consulting, and he is well-versed in managing individual plan requirements of all sizes for employers across a wide range of industries. Mr. Falcone is a frequent speaker at top industry events, most notably leading the full-day fiduciary best practices tutorial at the Mid-Sized Retirement & Healthcare Plan Management Conference for several years. In 2009 and 2010, he ranked on the 401kwire.com list of “Top 300 Most Influential Advisors in Defined Contribution,” receiving recognition for being among the “Top 40” advisors in the large market segment. Mr. Falcone graduated with a B.S. in mathematics from Drexel University. Mr. Falcone holds the chartered financial consultant and chartered life underwriter designations from The American College.

    Christian D. Hancey, J.D., Nixon Peabody LLP

    Christian D. Hancey, J.D.
    Partner
    Nixon Peabody LLP

    Christian Hancey is a partner in Nixon Peabody LLP’s employee benefits and executive compensation group where he focuses on designing, reviewing and implementing a wide range of benefit and compensation programs structured to suit businesses and nonprofit organizations. He also counsels employers on all types of traditional benefit plans, including defined benefit pension plans, 401(k) and 403(b) plans, multiemployer plans, medical benefit plans, cafeteria plans and disability plans. Additionally, Mr. Hancey works with employers to manage the transition of employees and their benefits during and after a merger or acquisition as well as advise employers and administrative committees on fiduciary oversight of ERISA plans. He was selected by his peers for inclusion in The Best Lawyers in America (2016) within Employee Benefits (ERISA) Law, has been listed in The Best Lawyers in America since 2015, and was recognized as a “Super Lawyer” in Employee Benefits/ERISA law by Super Lawyers magazine in 2014. He received his B.A., magna cum laude, from Brigham Young University and his J.D. from the University of Virginia School of Law.

    Kate U. Saracene, J.D.
    Partner
    Katten

    Kate Saracene is a partner with Katten, where she advises fully and self-insured employers, consultants, insurance brokers, third-party administrators and multiple employer associations regarding employee benefit plan design and operational compliance. She has extensive experience with a variety of plan types, including health, life and accident, flexible spending accounts, health reimbursement arrangements, dependent care assistance programs and severance pay, among others. Ms. Saracene also provides counsel on wellness programs and paid family leave, and helps clients navigate the complexities of government disclosures and filings, Department of Labor and other government audits, and benefit plan litigation. She also represents employers in negotiations involving third-party administrative service agreements and collective bargaining agreements. Additionally, Ms. Saracene provides counsel on compliance matters to a wide variety of employer types, including education, health care, manufacturing, hospitality, technology, media, government and industry associations. She has a robust practice advising third-party administrators on product development and compliance. Previously, Ms. Saracene headed a number of human resources functions at Xerox, and most recently served as the head of the health and welfare benefits team at an Am Law 100 firm, where she also practiced as an employment law attorney. She frequently lectures and writes on topics relating to employee benefits and wellness programs, and has been featured in national and industry media, including quotes appearing in Forbes, Bloomberg Business Week, Law360, HR Morning and HR Executive. She has been recognized as a “Rising Star” by Super Lawyers, a “40 Under Forty” award recipient by the Rochester Business Journal, a “Top Woman in Law” by The Daily Record, and a “Woman to Watch” by the Democrat & Chronicle. She received her B.S. from Cornell University and her J.D. from Yale Law School.

     

  • 12:00 pm - 5:00 pm
    Pre-Conference Self-Funding Forum
    Self-Funding Forum: Basic Concepts, Advanced Tactics and Compliance Insights
    Dean M. Hoffman, Dean M. Hoffman, LLC
    Kate U. Saracene, J.D., Katten
    View Details

    This all-inclusive, five-hour session begins with the basics of self-funding your health and welfare plan and progresses to more advanced tactics for risk mitigation. The speaker breaks down this funding arrangement into easy-to-understand segments and explains the “plug and play” approach to stop loss protection, claims administration, case management, pharmacy, data analytics, domestic medical travel, direct provider contracting and digital medicine. Gain an understanding of the emerging use of group captives along with the new level-funded and reference-based pricing arrangements. A seasoned employee benefits attorney also provides an overview of key compliance requirements and considerations. Gain insight into the variations of stop loss contracts, including recent hybrid contracts, and how they impact the employer’s risk tolerance and financial goals. Discuss real-world case studies and walk away from this session well-grounded in the concepts of self-funding and partial self-funding.

    Speakers:

    Dean M. Hoffman
    Benefits Consultant
    Dean M. Hoffman, LLC

    Dean Hoffman is a benefits consultant and the owner of consulting firm, Dean M. Hoffman, LLC, that provides employee benefit consulting services, customized training for plan sponsors, benefit managers, human resource professionals, agents, brokers and is often retained for expert witness testimony work. He has been in the employee benefit industry for more than 40 years, with an emphasis in group employee benefit plans. Mr. Hoffman has expertise in a broad range of employee benefits, including prescription plan analysis and all funding arrangements, including conventionally insured, minimum premium, retrospective, experience refund, stop loss, level funded and self-funding. His strategic leadership process is centered on providing solutions to plan sponsors seeking to maximize their healthcare benefits and enhance employee satisfaction while managing their healthcare expenditure. Mr. Hoffman utilizes his technical skills, advanced knowledge of ERISA plans, stop loss contracting, health care systems and data analysis to meet the needs of both the plan sponsor and employee. His knowledge on self-funded arrangements has made him a favorite at many health and welfare plan management conferences around the country. Professional affiliations include a 30-year membership in the National Association of Health Underwriters (NAHU) and past president of its Wisconsin Chapter. Mr. Hoffman has been a long-time advocate on legislative issues affecting the employee benefits industry, including hosting Congressional briefings for members of Congress and the Wisconsin legislature about the health insurance marketplace and the advantages of self-funding. In addition to having served on the NAHU board of trustees, he has volunteered for a number of the organization’s committees, including most recently chairing the Professional Development Committee.

    Kate U. Saracene, J.D.
    Partner
    Katten

    Kate Saracene is a partner with Katten, where she advises fully and self-insured employers, consultants, insurance brokers, third-party administrators and multiple employer associations regarding employee benefit plan design and operational compliance. She has extensive experience with a variety of plan types, including health, life and accident, flexible spending accounts, health reimbursement arrangements, dependent care assistance programs and severance pay, among others. Ms. Saracene also provides counsel on wellness programs and paid family leave, and helps clients navigate the complexities of government disclosures and filings, Department of Labor and other government audits, and benefit plan litigation. She also represents employers in negotiations involving third-party administrative service agreements and collective bargaining agreements. Additionally, Ms. Saracene provides counsel on compliance matters to a wide variety of employer types, including education, health care, manufacturing, hospitality, technology, media, government and industry associations. She has a robust practice advising third-party administrators on product development and compliance. Previously, Ms. Saracene headed a number of human resources functions at Xerox, and most recently served as the head of the health and welfare benefits team at an Am Law 100 firm, where she also practiced as an employment law attorney. She frequently lectures and writes on topics relating to employee benefits and wellness programs, and has been featured in national and industry media, including quotes appearing in Forbes, Bloomberg Business Week, Law360, HR Morning and HR Executive. She has been recognized as a “Rising Star” by Super Lawyers, a “40 Under Forty” award recipient by the Rochester Business Journal, a “Top Woman in Law” by The Daily Record, and a “Woman to Watch” by the Democrat & Chronicle. She received her B.S. from Cornell University and her J.D. from Yale Law School.

     

  • Monday, May 4, 2020
  • 7:00 am - 4:00 pm
    Registration
  • 7:00 am - 8:15 am
    Continental Breakfast
  • 8:15 am - 8:30 am
    Welcome/Opening Remarks
  • 8:30 am - 9:30 am
    Keynote Address
    Improving Outcomes Without Breaking the Benefits Bank
    Phil Senderowitz, Strategic Retirement Partners
    View Details

    Americans need to save for retirement, and employer sponsored retirement plans are intended to make that task easier. BUT retirement is not the only financial burden that needs their attention. Proactive plan design can help your employees improve their financial wellness and get them on the road to retirement readiness. Attend this keynote session for a discussion of cutting-edge plan design concepts that go beyond the traditional designs.

    Speaker:

    Phil Senderowitz
    Managing Director, Central Florida
    Strategic Retirement Partners

  • 9:45 am - 10:45 am
  • 11:00 am - 12:00 pm
  • 12:00 pm - 1:45 pm
    Lunch & Panel Discussion
    Strategies For Superior Benefit Plan Management
    Moderated by Mark Friedman, University Conference Services
    View Details

    Conference chairman Mark Friedman and a panel of benefits professionals examine legal, economic and societal issues that are causing many employers to re-think how they provide for employees’ physical and financial well-being without jeopardizing their own bottom lines. For most companies, the two most highly-valued and costly benefits—healthcare and retirement—can be the most troublesome regarding cost-effectiveness, compliance and employee engagement. The panel discusses real-world solutions, innovations and best practices for avoiding and overcoming contemporary problems in benefit plan management.

    Speaker:

    Mark Friedman

    Moderated by Mark Friedman
    Chairman
    University Conference Services

    Mark Friedman has been the chairman of the Mid-Sized Retirement & Healthcare Plan Management Conferences for more than 20 years. In addition to his role as chairman, Mr. Friedman has been a sponsor and administrator for a wide variety of benefit programs throughout his career and is chief executive officer of Lakeview Business Advisory and Management Services, LLC. He is also president of RTP Capital Associates, an angel investment network. Previously, Mr. Friedman was chief executive officer of Cutting Edge Information, LLC, one of the leading providers of Fair Market Value data to the pharmaceutical industry. Prior to that, he served as vice president of Development for Affordable Care, LLC, a large dental support organization with affiliated practices in 39 states. Mr. Friedman was also a member of Affordable Care’s retirement plan committee. He is the former chief operating officer of UAI Technology, Inc., the parent company of University Conference Services and Phoenix-Hecht, where he still serves as an advisor. Mr. Friedman has served as president of numerous firms, including Mid-Jersey Realty, LLC, a real estate management company; Garden State Dental, LLC, a dental practice management company; Group Dental Health Administrators, a dental health insurance company; and Leonard Financial Planning Systems, a comprehensive financial planning software firm. He serves on the board of directors of The UAI Foundation and The Raleigh School, where he also serves on the retirement and investment committees. He received a bachelor’s degree from the University of Rochester and an M.B.A. from The Fuqua School of Business at Duke University and holds the certified financial planner designation.

  • 2:00 pm - 3:00 pm
  • 3:00 pm - 3:15 pm
    Refreshment Break
  • 3:15 pm - 4:15 pm
  • 4:15 pm - 5:30 pm
    Networking Reception
  • Tuesday, May 5, 2020
  • 7:30 am - 4:00 pm
    Registration
  • 7:30 am - 8:30 am
    Continental Breakfast
  • 8:30 am - 9:30 am
    Keynote Address
    What if…? Connecting the Dots Between Retirement Plan Questions, Answers and Implications
    Bradley D. Ferguson, SWBC Retirement Plan Services
    View Details

    Sometimes the best insight comes from the simplest questions. A question from a colleague….an employee…a litigator…or even a fellow conference attendee. But what if you aren’t even sure what the question is? During this engaging session, explore a variety of retirement plan questions, answers and implications, ranging from simple questions regarding provider roles to complex questions regarding fiduciary responsibility. Additionally, receive guidance regarding the best way to implement solutions.

    Speaker:

    Bradley D. Ferguson
    Vice President, Institutions
    SWBC Retirement Plan Services

    Brad Ferguson is vice president of institutions with SWBC Retirement Plan Services and also serves as a voting member of the firm’s investment committee. He has more than 16 years of experience in providing fiduciary services to plan sponsors in the retirement plan industry and acts as the head of the firm’s institutional practice, providing fiduciary services to retirement plan providers at an enterprise level. Previously, Mr. Ferguson was a senior investment advisor with The Standard, where he managed the mid-Atlantic regional advisory practice. He has also served as a financial advisor for MassMutual, where he provided comprehensive planning services to private wealth clients. Mr. Ferguson received a B.S. in business administration from Shippensburg University.

  • 9:45 am - 10:45 am
  • 11:00 am - 12:00 pm
  • 12:00 pm - 1:45 pm
    Lunch and Speaker
    Health Care Reform and the 2020 Elections
    Jonathan Oberlander, Ph.D., University of North Carolina at Chapel Hill
  • 2:00 pm - 3:00 pm
  • 3:00 pm - 3:15 pm
    Refreshment Break
  • 3:15 pm - 4:15 pm
  • 4:15 pm - 5:30 pm
    Networking Reception
  • Wednesday, May 6, 2020
  • 7:30 am - 11:00 am
    Registration
  • 7:30 am - 8:30 am
    Continental Breakfast
  • 8:30 am - 9:30 am
    Keynote Address
    Mission Possible: Positive Leadership
    Devin C. Hughes, Devin C. Hughes Inc.
    View Details

    Are you a positive leader? Do you wonder what others think about your attitude as a leader? A quick test is to observe the way people react to you when you walk into a room. Are people happy to see you? Do they want to talk to you? Or do they quickly make themselves scarce? If they run when they see you, it’s time for an attitude check. Negativity in organizations is costing US businesses $300 billion/year. Organizations that have a positive culture are more productive, have happier employees and most importantly, have happy and satisfied customers. Leaders have a choice about his/her attitude—and no matter what the situation, you have a choice to make about how you are going to react. In this keynote session, learn vital strategies to keep your team/organization strong and establish a culture of positive leadership.

    Speaker:

    Devin C. Hughes
    Chief Inspiration Officer
    Devin C. Hughes Inc.

    Devin Hughes is an author, speaker, and an internationally recognized expert on how work is evolving in the 21st century. He is best known for his expertise in the science of happiness, organizational/cultural change and leadership development. Mr. Hughes has lectured and worked with a variety of Fortune 100 companies, as well as the Secret Service, the IRS, and an assortment of profit and non-profit organizations. He is the author of 19 books and has lectured in more than 15 countries.

  • 9:45 am - 10:45 am
  • 11:00 am - 12:00 pm