Conference Materials


Breakout Sessions - Key Risks in Retirement Plan Products and Services

Wednesday, May 8, 2019 9:15 AM - 10:15 AM


Larry Divers

Executive Vice President 
Athens, Georgia

Speaker Bio

Session Description

The Retirement Plan Marketplace, which currently encompasses over $28 trillion, has a complicated legal and compliance framework that requires financial organizations to have comprehensive policies, procedures and controls in place to assure proper compliance and risk management.  This program will focus on the compliance, operational, and reputational risks facing retirement service providers. Specifically, the areas to be discussed will be those identified by the Internal Revenue Service, Department of Labor, and the OCC.

Session Material

Key Risks in Retirement Plan Products and Services