Live & Recorded
Webcasts by ASC

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For ASC Clients only.
If you are not currently an ASC client and would like more information on our products, please contact sales@asc-net.com!

In this free IRS-approved webcast, you will earn 1 hour of CE Credit for ERPA, ARA, NIPA, JBEA non-core and Enrolled Agent.

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For ASC Clients only.
If you are not currently an ASC client and would like more information on our products, please contact sales@asc-net.com!

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Join us for our annual Ethics for Retirement Plan Practitioners webcast, presented by John Griffin, J.D., LL.M.

During this 2-hour, CE credit webcast, John will provide you with information so you can identify and deal with the ethical dilemmas that come your way.

In this 2-hour CE webcast, the following topics will be discussed:

• An overview of ethical responsibilities
• An explanation of IRS Circular 230 from an retirement plan practitioner perspective
• Ethical concerns of the IRS' Office of Professional Responsibility
• Best ethical practices for your firm
• Ethical situations faced by practitioners

Don't let your professional knowledge of this ever-changing retirement plan industry become outdated!

Join John Griffin, J.D., LL.M. for his annual discussion of the most significant developments in the retirement plan industry over the past year.

In this 2-hour CE webcast, the following topics will be discussed:

• Recent retirement plan legislation
• Internal Revenue Service regulatory developments
• Department of Labor regulatory developments
• ERISA litigation trends
• Pending retirement plan legislation
• Plus other important retirement plan industry developments!

Mergers and acquisitions can create a compliance minefield for qualified retirement plans.

From changes in controlled group status to complex stock and asset sales, each scenario brings its own set of challenges - and costly consequences if mishandled. Failure to assess plan implications early in the deal process can result in legal exposure, disqualification risks, and post-close remediation costs.

Join us for this essential 2-hour CE webcast where leading ERISA attorney John Griffin, J.D., LL.M. will break down the most pressing issues plan sponsors and practitioners face during M&A events. You'll walk away with a clear comprehensive checklist designed to help you spot risks early, ensure compliance, and confidently guide clients or internal stakeholders through the process.

The following topics will be covered during the webcast:

• Overview of transactions that cause merger and acquisition issues for qualified plans
• Distinguishing asset and stock sales
• Due diligence
• Severance from employment issues
• Service crediting
• Coverage and nondiscrimination testing
• Plan document issues
• Other merger and acquisition concerns

Whether you're advising clients or overseeing a plan internally, this webcast delivers practical strategies and a proven checklist to help equip you with the tools and insights to handle M&A situations with confidence.

Curious if a MEP or PEP plan is right for your client?

Not sure how to manage and administer MEPs and PEPs and need some guidance?

Multiple Employer Plans (MEPs) are employee benefit plans that two or more unrelated employers maintain. Pooled Employer Plans (PEPs) are a special type of MEP managed by "pooled plan providers," such as TPAs and other service providers.

MEPs and PEPs are gaining traction as employers look for ways to streamline retirement plan administration and reduce fiduciary burdens. That's why understanding how these plans differ - and when each is the right fit - is essential for plan professionals.

Join industry expert John Griffin, J.D., LL.M., on August 7, 2025, for a comprehensive webcast that will clarify these plan designs, examine current regulatory developments, and equip you with practical knowledge to better serve your clients.

The webcast will explore the following topics:

• Introduction to Multiple Employer Plans and Pooled Employer Plans
• What is a Multiple Employer Plan (MEP)?
• The special rules applicable to MEPs
• Why plan sponsors use the MEP approach
• What is a Pooled Employer Plan (PEP)?
• The special rules applicable to PEPs
• Why service providers may consider becoming a PEP Pooled Plan Provider
• Outstanding MEP and PEP issues and the status of regulatory guidance

Seeking clarity about plan amendments or restatements for your plan?

With new regulations in place, are your plan documents where they need to be?

SECURE 2.0 may appear straightforward, but hidden challenges can trip up even experienced professionals. Staying on top of these new document requirements and fast-approaching deadlines, is essential to maintaining compliance.

Join John Griffin for a focused, solutions-driven webcast where he will walk through the amendment and restatement process, share key IRS updates, and offer actionable best practices to keep your plan documents on track.

Among the topics that John will cover are:

• Discussion of the amendments/restatements that are required for pre-approved defined contribution and defined benefit 401(a) plans and pre-approved 403(b) plans to comply with SECURE 2.0 and other regulatory requirements.
• Identify deadlines for amending and restating plan documents.
• Responsibilities of pre-approved plan Providers.
• Share best practices for navigating the amendment/restatement process and ensuring ongoing compliance with regulatory requirements.

Let industry expert, John Griffin, J.D., LL.M., guide you so that you can confidently navigate your plan amendments and restatements.

The IRS slowly is issuing guidance related to the SECURE 2.0 Act of 2022. In recent months, the IRS has issued proposed regulations on the mandatory automatic enrollment requirements and catch-up contributions. Some of the positions the IRS takes in the guidance are controversial, others are not. In any event, practitioners should become familiar with the regulations as the rules become effective.

In addition to discussing SECURE 2.0 guidance, this webcast will touch upon other recent legal, regulatory and legislative and legal developments.

The following topics will be covered during the webcast:

• Proposed regulations on mandatory automatic enrollment for 401(k) and 403(b) plans
• Proposed regulations on mandatory Roth catch-up contributions
• Proposed regulations on the higher catch-up contribution limits for employees ages 60 - 63
• Litigation relating the use of forfeitures
• Status of Department of Labor guidance on fiduciary requirements
• Legislative developments

For ASC Clients only.

Please Note: Non-ASC clients can attend this webcast by invitation only. Please contact sales@asc-net.com if interested.

Cycle 2 403(b) restatement time is here!

Dawn Johnson, CRSP, will show you how easy it is to manage your Cycle 2 403(b) plan restatements in ASC's DGEM system.

Dawn will cover the following topics in this free 1-hour training webcast:

• Preparing for your Cycle 2 restatements
• Creating Cycle 2 restatements, either individually or in batch
• Generating a complete Cycle 2 restatement package
• Delivering the restatement package
  • E-Signing documents
  • Emailing directly to plan sponsor
• Using ASC's CRMs to help track your restatement progress

Any ASC client is welcome to join this webcast. 

Please Note: Non-ASC clients can attend this webcast by invitation only. Please contact sales@asc-net.com if interested.

The IRS recently approved the ASC 403(b) pre-approved plans for cycle 2 restatements. As a document Provider, you need to know the requirements of the 403(b) pre-approved plan program and be comfortable with the plans you provide for your clients.

In this 1-hour free webcast, John Griffin, J.D., LL.M., will guide you through important aspects of the IRS' 403(b) pre-approved plan program, discuss the Cycle 2 restatement process and deadlines and review the newly-approved ASC Cycle 2 403(b) pre-approved plans.

The following topics will be covered during the webcast:

• General requirements under the IRS' 403(b) pre-approved plan program
• Cycle 2 plan restatement deadlines
• Impact of SECURE 2.0 interim amendment requirements
• Scope of "reliance" provided by an IRS Opinion Letter
• Responsibilities of a 403(b) pre-approved plan Provider
• Overview of the important changes to the ASC 403(b) pre-approved plans, with an emphasis on the 501(c)(3) Plan

Plus, in this free IRS-approved webcast, you will earn 1 hour of CE Credit for ERPA, ARA, NIPA, JBEA non-core and Enrolled Agent.

Note: You must attend the live webcast to receive CE Credit.

"Just because you can, doesn't mean you should!" This caution certainly applies in the world of qualified retirement plans. "Pushing the envelope" may be appropriate for some clients, but often simpler plan designs are better for ensuring compliance, reigning in administration costs, and meeting plan sponsor objectives.

In this 2-hour CE webcast, John Griffin, J.D., LL.M. discusses many plan designs and techniques that keep plan administration and compliance a bit simpler.

Among the topics that will be covered during the webcast are:

• Avoiding plan eligibility confusion
• Problematic "compensation" definitions
• Choosing the right "safe harbor" plan
• Simple ways to deal with the long-term, part-time employee rules
• Automatic enrollment plans - benefits and requirements
• Limiting plan distribution options
• Simplifying loan administration
• The benefits of a comprehensive administrative policy
• AND MORE!

Plan administrators must give employees certain written information about their retirement plans. Some of this information must be provided regularly and automatically. Other kinds of information must be available upon written request. It can be overwhelming! Congress, IRS and DOL recognize the burden plan administrators have in complying with all of the participant notices and disclosures and are attempting to simplify and consolidate them.

Join John Griffin, J.D., LL.M., as he discusses the numerous participant notices and disclosures plan administrators must provide, the ability to use electronic media to deliver notices and disclosures and efforts to consolidate and simplify the notice and disclosure requirements.

The following topics will be covered during the webcast:

• IRS notices
  • Safe harbor 401(k) notice
  • Automatic enrollment notice
  • QDRO notice
  • Distribution, including rollover, notices
  • QJSA and QPSA notices
  • Suspension of benefits notice
  • Other notices
• DOL disclosures
  • Summary plan description
  • Summary of material modifications
  • Summary annual report
  • Plan documents
  • Participant fee disclosures
  • ERISA 204(h) Notice
  • Periodic benefit statements
  • Other disclosures
• Requirements for using electronic media
• Efforts to simplify and consolidate notices and disclosures

Practitioners and plan sponsors are well into complying with the statutory requirements of the SECURE 2.0 Act. Compliance has not proven easy! While the IRS and DOL have issued some guidance on the provisions of the SECURE 2.0 Act, many issues remain unresolved.

In this 2-hour CE webcast, John Griffin, J.D., LL.M. discusses the latest IRS and DOL guidance relating to the SECURE 2.0 Act and practical considerations as practitioners and plan sponsors confront myriad SECURE 2.0 Act provisions.

The following topics will be covered during the webcast:

• IRS and DOL guidance related to the SECURE 2.0 Act
  • Expansion of the EPCRS program
  • IRS relief for mandatory Roth catch-up contributions
  • Long-term part-time employee proposed regulations
  • IRS SECURE 2.0 "grab bag" notice
  • Pension-linked emergency saving accounts
  • SECURE 2.0 Act technical corrections
  • Other IRS and DOL guidance
  • FAQs on disaster distributions
  • Proposed rules on Retirement Savings Lost and Found
  • SECURE 2.0 Technical Corrections Act
  • Proposed Regulations for Automatic Portability Transactions
• Operational compliance with SECURE 2.0 Act and plan document amendments
• Preparation for SECURE 2.0 provisions effective after 2024

Designing a qualified retirement plan for an employer that is a member of a "controlled group" presents unique challenges, including compliance testing issues.

In this 2-hour CE webcast, John Griffin, J.D., LL.M. discusses many of the most important plan design considerations and compliance mistakes commonly made.

The following topics will be covered during the webcast:

• Basic controlled group rules for qualified plans*
• Qualification rules impacted by controlled group status
• Plan design application for specific qualification requirements, including:
  • Crediting service for eligibility and vesting purposes
  • HCE determination
  • Coverage issues
  •  Nondiscrimination testing issues
  • Top-heavy plan concerns
  • Spousal attribution problems
• Other special issues to consider:
  • Plan documents
  •  Using the Code §410(b)(6)(C) rules
  • Consequences of really being a multiple employer plan

* The webcast will include a general discussion of the controlled group rules, but will not get into the many nuances of controlled group and related employer determinations.

Last year, the IRS issued proposed regulations relating to long-term part-time (LTPT) employees. The IRS requires 401(k) plan sponsors to comply with these controversial regulations starting January 1st. Many industry organizations provided comments to the IRS on the difficulties plan sponsors and practitioners are having with the significant administrative and compliance issues created by the proposed regulations. In addition, 403(b) plan sponsors need to gear up for compliance with the LTPT employee rules starting in 2025.

Join John Griffin, J.D., LL.M. in this 2-hour CE webcast for a discussion on where we stand with the LTPT employee requirements.

The following topics will be covered during the webcast:

• Overview of the LTPT employee proposed regulations applicable to 401(k) plans
• Controversial and unclear aspects of the proposed regulations
• Suggested revisions to the proposed regulations
• How should practitioners and plan sponsors currently deal with LTPT employee administrative and compliance issues?
• Applying the LTPT employee rules to 403(b) plans in 2025

Never rehire anyone!!! Following this piece of advice may help alleviate some plan administration headaches, but certainly is not practical. Plan sponsors do rehire previously terminated employees. Rehired employees often cause significant difficulties in administering qualified plans. 

In this 2-hour, CE credit webcast John Griffin, J.D., LL.M., will discuss many of the unique issues facing plan sponsors and recordkeepers in applying the eligibility, distribution and other rules applicable to rehired employees.

Topics covered during this webcast will include: 

• Applying eligibility rules to determine when employees must be allowed to participate upon rehire 
• Timing of cash-out distributions and the procedures for dealing with repayments/restorations
• Correctly calculating vesting for rehired employees
• Dealing with rehired employees under automatic deferral arrangements
• Applying the break-in-service rules and the difficulties of dealing with rehired employees under 401(k) plans
• And much more!

Retirement plan terminations can be tricky and confusing. Knowing how to handle these situations requires skill and a breadth of knowledge that not everyone has.

In this 2-hour CE credit webcast, John Griffin, J.D., LL.M., will guide you through the different IRS regulations surrounding qualified plan terminations and partial plan terminations.

Topics that will be covered: 

• Making the decision to terminate a retirement plan
• Consequences of plan termination
• Participant rights upon plan termination
• The process of terminating a defined contribution plan
• "Partial" plan termination determination and consequences
• How to handle lost or non-responsive participants
• And much more

Who would ever use that plan provision? Pre-approved qualified plan documents include hundreds of possible design provisions and elections. Most of these provisions are common and do not raise issues for document providers and plan sponsors. However, there are a number of somewhat obscure or seldom used provisions that may be overlooked when designing a plan.

In this 2-hour CE credit webcast, John Griffin, J.D., LL.M., will discuss many of these obscure provisions, some of which may be appropriate for certain plan sponsors.

Topics will include:

• Eligibility and vesting break-in-service rules
• Waiver of participation
• Unique employer contribution formulas
• Contributions of property
• After-tax employee contributions
• Consequences of amending a vesting schedule
• True-up contributions
• Different safe harbor plan eligibility criteria
• Cash-out and forfeiture provisions
• "ERISA" elections by entities exempt from Title I
• And much more!

While a safe harbor 401(k) plan has become a very popular plan design for many plan sponsors, the rules are not always straight-forward. A number of "gotchas" can trip up plan sponsors and practitioners. In addition, SECURE 2.0 raises new issues and concerns.

In this two-hour CE webcast, John Griffin, JD, LLM will discuss the rules applicable to safe harbor 401(k) plans and the many compliance "gotchas" that plan sponsors and practitioners should know. Topics will include:

• What is (and what is not) a safe harbor 401(k) plan?
• Why an employer may (or may not) want to have a safe harbor 401(k) plan
• Rules for "traditional" safe harbor 401(k) plans
• Rules for qualified automatic contribution arrangements (QACAs)
• Special issues for safe harbor 401(k) plans
• Other things to keep in mind regarding safe harbor 401(k) plans
• Miscellaneous safe harbor plan questions and answers

As the IRS proclaims, "mistakes happen!" The IRS Employee Plans Compliance Resolution System (EPCRS) allows retirement plan sponsors to correct plan mistakes and continue to provide retirement benefits on a tax-favored basis. EPCRS includes self-correction without IRS involvement (SCP), voluntary correction with IRS approval (VCP), and correction during audit under a closing agreement (Audit CAP).

In this 2-hour CE webcast, John Griffin, J.D., LL.M. explains what every retirement plan practitioner needs to know about the EPCRS plan correction procedures, including the impact of SECURE 2.0. After a brief summary of EPCRS, case studies will be used to illustrate common errors and suggested solutions, including:

• Failure to timely amend or restate a plan
• Failure to correct ADP/ACP testing violations
• Improper use of the definition of compensation
• Failure to properly provide matching contributions
• Improper coverage of employees (e.g., early or late entrance)
• Exceeding the §402(g) elective limit
• Improper hardship distributions
• And more!

With testing season just around the corner, we will take a deeper dive into the compliance testing requirements and common issues recordkeepers and TPAs face when testing 401(k) plans.

In this 2-hour CE credit webcast, John Griffin, J.D., LL.M., will discuss:

• Annual compliance testing requirements
• Issues in determining highly compensated employees
• Minimum coverage and nondiscrimination testing issues
• ADP/ACP testing issues
• Annual compliance testing for 403(b) plans
• Code §402(g) and 415 limitation issues
• Top-heavy testing
• Benefits, rights and features testing

Forgetting to account for protected benefits, including "optional forms of benefit," when amending a qualified plan can cause a violation of the so-called "anti-cutback" rules. This is a common mistake made by employers and plan drafters.

In this 2-hour webcast, John P. Griffin, J.D., LL.M. discusses the following topics:

• Protecting benefits - the basic anti-cutback rule
• Accruals under defined contribution and defined benefit plans
• Optional forms of benefit and early retirement subsidies
• Regulatory exceptions to protected benefit rules
• Mergers, transfers, rollovers and terminations
• Impact of the vesting rules
• Correcting protected benefits violations

John P. Griffin, J.D., LL.M. discusses off-calendar and short plan years, which can create numerous compliance issues in administering plans.

In this 2-hour CE webcast, John P. Griffin J.D., LL.M. will discuss the following topics:

• Role of a plan's "plan year"
• Off-calendar plan year issues
  • Plan eligibility and participation
  • Plan limits and contributions
  • Nondiscrimination testing
  • Data issues
  • Form 5500 filings
  • Annual notices
• Short plan year issues
  • Identifying highly compensated employees
  • Compensation, 415, elective deferral and deduction limits
  • Coverage and nondiscrimination testing
  • Safe harbor 401(k) plans
  • Form 5500 filings
  • Plan termination