Speaker/Presentation Evaluation Forms

CENTER FOR DUE DILIGENCEP.O. Box 8 Western Springs, Illinois 60558

(630) 662-0284 Fax (630) 662-0286

E-mail: [email protected] Web: http://www.401kduediligence.com

CFDD ADVISOR CONFERENCE SPEAKER/PRESENTATION EVALUATIONS

(9/10/07)

“TRANSITIONING FROM SALESPERSON TO BUSINESSPERSON:Best Practices, Business Development & Marketing Skills”

October 1-3, 2007 (Monday -Wednesday)The Fairmont Scottsdale Princess

Scottsdale, Arizona

Sunday, September 30, 2007

Conference CenterSalon H INTRODUCTION TO FSS: Fiduciary Compliance

Training & Tools (Includes three sessions below: Hosted by FSS)

8:15 – 9:15 a.m. Maintaining A Prudent Process: Ongoing Fiduciary Compliance & Maximizing Marketing

Donald Settina, CFP, AIFA, PPC, President & CEO, Financial Service Standards, LLC (PPC)

(Please circle one)

Speaker/s: Good Average Below Average --- Presentation: Good Average Below AverageRepeat Session? Y N

Comments:

Center for Due Diligence

mailto:[email protected]

Speaker/Presentation Evaluations - CFDD’s 2007 Advisor ConferencePage 2

Sunday, September 30, 2007 (Continued)

Salon H

9:30 – 10:30 a.m. Plan Management 101: What Sponsors Need To Document Fiduciary Compliance

-Sharon Pivirotto, PPC, AIF, VP, Financial Service Standards, LLC

(Please circle one)


Comments:

Salon H

10:45 – 11:45 a.m. Meeting Global Fiduciary Standards of Care: How To Prepare Your Practice For An ERISA Audit

-Donald Settina, CFP, AIFA, PPC, President & CEO, Financial Service Standards, LLC (PPC)

-Sharon Pivirotto, AIF, PPC, VP, Financial Service Standards, LLC

(Please circle one)


Comments:




Salon I

12:00 – 5:00 p.m. Marketing Boot Camp For Advisors-Ward Harris, Founder & CEO, The McHenry Group/Plan Tools LLC-Steve Ferber, EVP, Collective Fund Services, AST Trust Company-Kent Fitzpatrick, AIFA, ARPC, EVP, Asset Strategy Retirement

Consultants-Brian C. Hubbell, AIF, Principal, Hubbell Consulting, LLC-Al Otto, AIFA, EVP, White Horse Advisors, LLC -Eric Hughes, Managing Director, Simplexity, LLC-Pete Newkirk, President, Newkirk-Bob Padgette, CFA, CIMA, Founder &Managing Director, Klein

Decisions, LLC-Janet Quarberg, Managing Director, Retirement Distribution Strategies,

Voyageur Asset Management, Inc.-Charlie Russella, EVP & National Sales Manager, AST Trust Co-Perry Wilkes, Sr. Plan Advisor, White Horse Advisors, LLC

(Please circle one)


Comments:

12:00 p.m. –

Kierland Golf Club Charity Golf Event15636 North Clubgate DriveScottsdale, AZ 85254(480) 922 9283




Conference Center FIDUCIARY EDUCATION PROGRAM:Managing Advisor Liability & Operational Compliance(Includes three sessions below: Hosted by CFDD)

Salon H

12:30 – 2:15 p.m. Fiduciary Issues & Status In An Ever Changing Legal Landscape: Things You Need To Know-Marcia S. Wagner, Esq., President, The Wagner Law Group

(Please circle one)


Comments:

Salon H

2:30 – 3:30 p.m. Fiduciary Insurance, E&O Coverage, ERISA Bonding, Investment ERISA Bonds & Employee Dishonesty:

Unwinding The Maze For Sponsors & Advisors-Gary B. Sutherland, CIC, CEO, North American Professional Liability

Insurance Agency

(Please circle one)


Comments:




Salon H

3:45 – 4:45 p.m. 404(c) Liability: Diving Into The Abyss Of True Compliance-David Witz, Managing Director, Fiduciary Risk Assessment, LLC

(Please circle one)


Comments:

5:00 –

Conference Center Cybercafé & Registration Desk Opens

6:00 – 9:00 p.m.

Princess Plaza Courtyard Kick-Off Party & Golf Event Awards Presentation



-Hosted by The McHenry Group & PlanTools, LLC-Special Honored Guests

Monday, October 1, 2007

7:00 – 8:15 a.m.

Conference Center/Plaza Registration & Breakfast

8:15 – 9:15 a.m.

Salon D&E WHAT’S UP ON CAPITOL HILL: Recent Pension Laws & Regulation

-Kathryn Capage, Strategic Planning Director, Retirement & Tax Advantages Products Division, AIM Investments

(Please circle one)


Comments:

Salon H FALL OF THE MERRILL RULE: What’s Next For BDs & Retirement Advisors -Ward Harris, Founder & CEO, The McHenry Group/PlanTools

LLC

(Please circle one)



Speaker/Presentation Evaluations - CFDD’s 2007 Advisor ConferencePage 7 Comments:

Monday, October 1, 2007 (Continued)

8:15 – 9:15 a.m.

Salon I Advanced Plan Design For Family-Owned & Closely Held Corporations-Michael. H. Manning, National Director of Retirement Plans

Distribution Sales, UNIFI Companies

(Please circle one)


Comments:

Salon F&G INDIVIDUAL ADVICE & THE ADVISOR’S ROLE: Should Advisors Provide, Partner Or Compete With Providers?

-Trisha Brambley (Moderator), President, Resources For Retirement ,NRP Member Firm

-Mark Kordonsky, Founder & CEO, Sortino Investment Management, LLC

-Edward A. Schwartz, President, Gregory J. Schwartz & Co., Inc.-Joan McDonagh, J.D., Manager, 401k Technical Resources, Great-West

Retirement Services-David Finn, PRP, MBA, Director of Business Development, Northeast

Employee Benefits Practice, Milliman, Inc

(Please circle one)

Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average



Repeat Session? Y N

Comments:


9:30 – 10:30 a.m.

Salon H PPA ONE YEAR LATER: What Happened?-Michael Taricani, VP, Compliance/Product & Advisory Services,

Prudential Financial-Chad J. Larsen, PRP, AIF, Sr VP, Retirement Plan Services, Moreton

Financial Solutions, LLC, NRP Member Firm

(Please circle one)


Comments:

Salon D&E Benchmarking Advisor Fees & Disclosure Best Practices-Don Salama, Sr Managing Director, New York Life Retirement Plan

Services-Ann Schleck, Principal, Ann Schleck & Company

(Please circle one)


Comments:




9:30 – 10:30 a.m.

Salon I Advice For Advisors of 401k Plans With Company Stock-Daniel Reser, JD, CCTS, MPF, President, Fiduciary Services, In-Laurence Goldberg, Partner, Sheppard, Mullin, Richter & Hampton

(Please circle one)


Comments:

Salon F&G CRM & NEWSLETTERS: Leveraging Best Practices, Technology & Efficiency

-Randy Long (Moderator), Managing Principal, (CRM & Newsletter User) SageViewAdvisory Group

-Rhonda Evans, Ph.D., AIF, Managing Director (Research & Newsletters), The McHenry Group

-Jeff Yoshimura, Director, Appexchange Financial Services, Salesforce.com

-Jon Manlove, Client Service Director (CRM Consultant), The McHenry Group

(Please circle one)

Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average



Repeat Session? Y N

Comments:


10:45 – 11:45 a.m.

Salon H Risk Management Techniques

For DB Plans-Mark Kordonsky (Moderator), Founder & CEO, Sortino Investment

Management, LLC-Patrick Kendall, VP, DB Practice Leader, Diversified Investment

Advisors-Gary Burczek, FSA, EA, MAAA, Actuary, Principal Financial

Group

(Please circle one)


Comments:

Salon D&E Designations For Retirement Plan Advisors-Pat Oberlander (Moderator), Executive Director, Retirement Consulting

Services, UBS Financial Services-Blaine Aikin, AIFA, CFA, CFP, Managing Partner, CKO, Fiduciary360

(AIF & AIFA)-Susan Hajek, QKA, Chief Sales & Marketing Officer, ASPPA (QPFC)



-Donald Settina, CFP, AIFA, PPC, President & CEO, Financial Service Standards, LLC (PPC)

(Please circle one)


Comments:


10:45 – 11:45 a.m.

Salon I MANAGING RETIREMENT INCOME: The Shift From Managing Accumulations To Managing Distributions-Lisa Shidler (Moderator), Reporter, InvestmentNews-Joseph Masterson, Sr VP & Chief Sales Officer, Diversified Investment

Advisors-Douglas McIntosh, Jr, VP Retirement Income, Prudential Financial-David Longfritz, Sr VP & GM, Retirement Income & Rollover

Solutions, John Hancock-Tere D’Amato, CFP, CLU, ChFc, MSFS, Director Of Advanced

Planning, Commonwealth Financial Network

(Please circle one)


Comments:

Salon F&G FIDUCIARY LIABILITY INSURANCE, BONDING & SERVICE AGREEMENTS FOR SPONSORS:



How Sponsors & Advisors Share & Manage Liability- Brian C. Hubbell (Moderator), AIF, Principal, Hubbell Consulting,

LLC- Gary B. Sutherland, CIC, CEO, North American Professional Liability

Insurance Agency - Marcia S. Wagner, Esq., President, The Wagner Law Group

(Please circle one)


Comments:


12:00 – 1:00 p.m.

Conference Center/Plaza Lunch

1:15 – 2:15 p.m.

Salon D&E ERISA LITIGATION: What Is The Nature Of Recent Lawsuits, Who Are The Named Defendants & What

Safeguards Minimize Your Exposure?-Bruce Ashton, Esq., Partner, Reish Luftman Reicher & Cohen-Joe Faucher, Esq., Partner, Reish Luftman Reicher & Cohen

(Please circle one)


Comments:




1:15 – 2:15 p.m.

Salon H THE ROLE OF THE RETIREMENT PLAN COMMITTEE: Challenges & Opportunities For Advisors In Today’s

Regulatory Environment-Rocco DiBruno (Moderator), AIFA, Managing Director, Retirement

Group, Thornburg Investment Management-Joe McLaughlin, CRPS, AIF, PRP, VP, Wealth Advisor, Kelliher

Group at Morgan Stanley-Gary Josephs, Managing Partner, Castner Josephs Retirement Group,

NRP Member Firm-Jim Pierce, RPA, Executive Managing Director, Holmes Murphy

Financial Services-Jim O’Shaughnessy, AIF, PRP, Principal, Sheridan Road Financial,

NRP Member Firm

(Please circle one)


Comments:



Salon I DESIGNATIONS FOR RETIREMENT PLAN ADVISORS: An Advisor’s Perspective

-Paul D’Aiutolo (Moderator), PRP, AIF, QPFC, VP Investments, PRIME Asset Consulting Group, UBS Financial Services, Inc.

-Doug Prince AIFA, CPA, Managing Director, Stifel Nicolaus & Co-Michael Morris, AIF, CRPS, Director Institutional Consulting, Ross,

Sinclaire & Assoc, NRP Member Firm-Monica Garver, CPA, CFP, AIF, Managing Director,

PrimeSOLUTIONS Advisors, LLC

(Please circle one)


Comments:


1:15 – 2:15 p.m.

Salon F&G E&O INSURANCE & BONDING FOR RETIREMENT

ADVISORS: Requirements, Exclusions & Traps For The Unwary

- Brian C. Hubbell (Moderator), AIF, Principal, Hubbell Consulting, LLC

- Gary B. Sutherland, CIC, CEO, North American Professional Liability Insurance Agency

- David Benfield, Attorney, Claims Counsel Financial Services D&O Division, Hartford Financial Products, The

Hartford

(Please circle one)


Comments:



2:30 – 3:30 p.m.

Salon H THE AUTOMATION OF 401(k) PLANS: Evolving Changes Post PPA

-Steve Glasgow (Moderator) CFA, CIMA, AIF, PRP, Sr. Institutional Consultant, 1st VP, Wachovia Securities

-Barb Delaney, PRP, AIF, President, FFoA, NRP Member Firm-Mark Gutrich, President & CEO, ePlan Services, Inc.-Lisa Smith, Sr VP, Retirement, Fidelity Investments Institutional

(Please circle one)


Comments:


2:30 – 3:30 p.m.

Salon D&E WHAT’S A ROLLUP? Acquisitions, Franchises & Licensing-Ward Harris (Moderator), Founder & CEO, The McHenry

Group/Plan Tools LLC-Vince Giovinazzo, CEO, 401(k) Producer Services (NFP

acquisition)-Clark Frese, CPC, AIFA, Principal, Asset Strategy Retirement

Consultants (Former Invesmart affiliate)-Robert Francis, Chief Operating Officer, NRP-TBD Advisor (Prospective acquisition or affiliate)

(Please circle one)


Comments:



Salon I BUILDING A TEAM APPROACH TO RETIREMENT PLAN ADVISORY PRACTICES:-James D. Stoker, (Moderator) CIMA, Chief Executive Officer,

Water Street Investment Consultants, LLC-Chris Lakumb, CFA, CRSP, VP, Managing Director, Retirement

Services, InterOcean Wealth Management-Henry Tebben, CFA, Nat’l Director Business Development, DB,

Principal Financial GroupPaul D’Aiutolo, PRP, AIF, QPFC, VP Investments, PRIME

Asset Consulting Group, UBS Financial Services, Inc.

(Please circle one)


Comments:


2:30 – 3:30 p.m.

Salon F&G SEARCHING FOR THE DISTINGUISHED: What Determines The RFP Winner

-Dorann Cafaro (Moderator), Executive VP, 401kAdvisorsUSA/NRP-John Mott (Moderator), AIF, PRP, Sr. VP, Corporate Client Group

Director, Smith Barney-Wayne Boenig, CFA, CFP, AIF, Chief Investment Consultant, PFE

Advisors, LLC-Randy Long, Managing Principal, SageView Advisory Group

(Please circle one)


Comments:



3:45 – 4:45 p.m.

Salon D&E How Providers Can Work With RIAs-Cheri Moeder, Director Corporate Communications, CPI Qualified Plan

Consultants, Inc.

(Please circle one)


Comments:


3:45 – 4:45 p.m.

Salon F&G A REQUIREMENT FOR CREDIBILITY & MARKETING, BUT NOT SUCCESS: Polling Reveals How Advisors

View Retirement Plan Designations & How To Improve Them

-Sharon Pivirotto, AIF, PPC, VP, Financial Service Standards, LLC-Donald Settina, CFP, AIFA, PPC, President, Financial Service

Standards, LLC

(Please circle one)


Comments:



Salon H CASH BALANCE PLANS: A Post PPA Opportunity-Tom Bruns, Divisional VP, John Hancock Retirement Plan Services

(Please circle one)


Comments:


3:45 – 4:45 p.m.

Salon I NEGOTIATING ON BEHALF OF CLIENTS DURING THE RFP PROCESS: How To Demonstrate Value &

Differentiate From Other Advisors-Nick Della Vedova, RIA, President, 401(k) Advisors-Chip Hardy, AIF, PPC, PrimeTRUST Advisors

(Please circle one)



Speaker/Presentation Evaluations - CFDD’s 2007 Advisor ConferencePage 19 Comments:

4:45 – 6:00 p.m.

Conference Center/Plaza Cocktail Party

Tuesday, October 2, 2007

7:00 – 8:00 a.m.

Conference Center/Plaza Breakfast

8:15 – 9:15 a.m.

Salon D&E How Sponsors Should Evaluate Retirement Plan Advisors



-Jon Upham (Moderator), Managing Director, Advisory Services, SageView Advisory Group

-Robert Pruim, VP, Human Resources, FinishMaster (Plan Sponsor)-TBD Plan Sponsor-Marcia S. Wagner, Esq., President, The Wagner Law Group-David Wray, President, Profit Sharing/401(k) Council of America

(Please circle one)


Comments:

Salon H The Modern Investment Management Process: Asset Allocation to Fund Selection

-Thomas Idzorek, CFA, VP, Director of Research & Product Development, Ibbotson Associates

(Please circle one)


Comments:

Tuesday, October 2, 2007 (Continued)

8:15 – 9:15 a.m.

Salon F&G Managing & Motivating Your Staff-Charles Epstein, CLU, ChFc, AIF, RIA, Certified Family Business

Specialist, Principal, Epstein Financial Group, Co-Founder, The 401k Coach Program



-Lynne Peluso, Executive Office Manager, Epstein Financial Group & Benefits Consulting Group, LLC

(Please circle one)


Comments:

Salon I The ERISA Budget-Tom Pittman (Moderator), Chief Marketing Officer,

The Newport Group-Jason Chepenik, CFP, RFC, AIF, Managing Director, Partner,

Chepenik Financial-Andrew DeGroat, AIF, Principal, Wharton Advisors-Samuel T. Brkich, JD, VP & Chief Counsel, The Newport Group

(Please circle one)


Comments:


9:30 – 10:30 a.m.

Salon D&E PAYOFF FOR THE FIRM: Compensation Planning-Rebecca H. Pomering, Principal, Moss Adams LLP

(Sponsored by The McHenry Group)



(Please circle one)


Comments:

Salon H INVESTMENT RESULTS DON’T COME IN A BOX: A Fund Company’s Perspective

-Steve Caruthers, VP, Capital Research & Management Company (American Funds Institutional Group)

(Please circle one)


Comments:


9:30 – 10:30 a.m.


Speaker/Presentation Evaluations - CFDD’s 2007 Advisor ConferencePage 23 Salon I REPORTING SERVICES: What Services Advisors Are Using

& How They Integrate The Process-Doug Prince (Moderator), AIFA, CPA, Managing Director, Stifel

Nicolaus & Co-Mark Metz, Managing Director, Business Development, PlanTools,

LLC-Andy Frommeyer, AIF, Director, Product Development & Management

Fiduciary Analytics -John Faustino, VP, Desktop Software, Morningstar, Inc

(Please circle one)


Comments:

Salon F&G GROW YOUR BUSINESS: A View From The Trenches-Vince Giovinazzo, CEO, 401(k) Producer Services

(Please circle one)


Comments:


10:45 – 11:45 a.m.



Salon F&G Evaluating & Benchmarking Target Date Funds-Steve Ferber (Moderator), EVP, Collective Fund Services, AST Trust

Company-Dan Esch, Managing Director, Defined Contribution Advisors, Inc.-Matt Smith, Managing Director, Retirement Services, Russell

Investment Group-John Sturiale, CFP, AIF, Field VP, Retirement Investment Services,

Portfolio Manager, Schwab Managed Retirement Trust Funds, Schwab Corporate & Retirement Services, Inc

-Joseph C. Nagengast, CEBS, Founder, Turnstone Advisory Group, LLC

(Please circle one)


Comments:

Salon D&E Building A Business With Transferable Equity-Rebecca H. Pomering, Principal, Moss Adams LLP

(Sponsored by The McHenry Group)

(Please circle one)


Comments:




10:45 – 11:45 a.m.

Salon H Developing Strategic Alliances & Partnerships With Other Professionals

-Charles Epstein, CLU, ChFc, AIF, RIA, Certified Family Business Specialist, Principal, Epstein Financial Group, Co-

Founder, The 401k Coach Program

(Please circle one)


Comments:

Salon I THE ETHICS OF REVENUE SHARING & DISCLOSURE: A Model For Professionals

-Pete Swisher, CFP, QPA, VP Of Advisor Services, Unified Trust Company, NA

-Al Otto, AIFA, EVP, White Horse Advisors, LLC

(Please circle one)


Comments:




12:00 – 1:00 p.m.

Conference Center/Plaza Lunch

1:15 – 2:15 p.m.

Salon D&E FROM THE TRENCHES TO THE BOARDROOM: A Seismic Shift In The Advisor’s Role

-Jamie Worrell (Moderator), AIF, PRP, J.D., President, GPS Investment Advisors

-Thomas Scalici, CFP, CEBS, AIF, Managing Director, Cornerstone Advisors Asset Management, Inc

-Lisa Kottler, QKA, AIF, VP, Retirement Services, NFP

(Please circle one)


Comments:




1:15 – 2:15 p.m.

Salon H MANAGED ACCOUNTS & THE NEW TARGET 401k) PLAN: Helping People Retire With Economic Security

-Rhonda Evans (Moderator), Ph.D., AIF, Managing Director, The McHenry Group

-Dr. Frank Sortino, Founder & Chairman, Sortino Investment Management, LLC.

-Mark Kordonsky, Founder & CEO, Sortino Investment Management, LLC.

(Please circle one)


Comments:

Salon F&G VALUE ADDED SPONSOR SERVICES: Will Your BD Support The Delivery Of More Complex Services In

Today’s Changing Environment-Mitch Haber (Moderator), Managing Director, MassMutual Retirement

Services-Pat Oberlander, Executive Director, Retirement Consulting Services,

UBS Financial Services, Inc.-Mary Claire Voss, AIF, 1st VP, Manager Qualified Plans Services,

Stifel, Nicolaus & Company-Brant J. Griffin, QKA, PRP, AIFA, Director Corporate Services Group,

Oppenheimer & Co., Inc.-Vince Morris, AIF, PRP, VP, Bukaty Companies, NRP Member Firm

(Please circle one)


Comments:




1:15 – 2:15 p.m.

Salon I HOW YOUR CLIENTS REALLY FEEL: Soliciting Feedback & Improving Satisfaction-Gene Huxhold, CFP, Investment Only Specialist, John Hancock

Financial Services-Ray Henderson, Director, Business Health, PTY., Ltd.

(Sponsored by John Hancock Retirement Plan Services

(Please circle one)


Comments:

2:30 – 3:30 p.m.

Salon H AUTOMATING COMPLIANCE FUNCTIONS: SEC Books & Records Requirements-Cherie Jolly, B/D & IA Consultant,

ComplianceMAX Financial Corporation

(Please circle one)


Comments:




2:30 – 3:30 p.m.

Salon D&E EMPLOYEE EDUCATION: What Role Should Advisors Play?-John Mott (Moderator), AIF, PRP, Sr. VP, Corporate Client Group

Director, Smith Barney-Brian Ward, Managing Director-Investment Officer, Sr. Institutional

Consultant Ward Financial Advisory of Wachovia Securities

-Ron Sanders, AIF, Sanders Booze Capital Advisors-George Fraser, Sr. VP, Wealth Management, Smith Barney-Tom Bruns, Divisional VP, John Hancock Retirement Plan Services

(Please circle one)


Comments:

Salon I Holistic Fiduciary Oversight-Doug Conkel, Principal, Milliman, Inc-Ginny Boggs, QPA, QKA, QFPC, Senior Compliance Consultant,

Milliman, Inc

(Please circle one)


Comments:




2:30 – 3:30 p.m.

Salon F&G BUYING SIGNS: A New Look At Selling-Rick Cortellessa, CRPS, Legg Mason Retirement Services-Bill Acheson, University Of Pittsburgh

(Please circle one)


Comments:

3:45 – 4:45 p.m.

Salon D&E The Value Of An Independent Retirement Advisor-Chip Hunt (Moderator), AIF, PPC, Principal, PrimeTRUST Advisors-Clark Frese, Principal, Asset Strategy Retirement Consultants

(Please circle one)


Comments:




3:45 – 4:45 p.m.

Salon F&G Technology Business Solutions That Build Value-Rhonda Evans (Moderator), Ph.D., AIF, Managing Director, The

McHenry Group-Jeff Schwartz, VP, Markov Processes International -Matthew Hammonds, AIF, PRP, Managing Director, Research &

Operations SageView Advisory Group -Mark Metz, Managing Director, Business Development, PlanTools,

LLC-Al Otto, Co-Founder, White Horse Advisors, LLC

(Please circle one)


Comments:

Salon H RETIREMENT INCOME GUARANTEES: Meeting The Challenge Of The Next Generation-Dan Campbell, Managing Director, Retirement Guarantee Network,

Milliman, Inc-Ken Mungan, FSA, MAAA, Principal, Milliman, Inc

(Please circle one)


Speaker/Presentation Evaluations - CFDD’s 2007 Advisor ConferencePage 32 Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average

Repeat Session? Y N

Comments:


3:45 – 4:45 p.m.

Salon I Fiduciary Myths & How To Correct Them To Your Advantage-Pete Swisher, CFP, QPA, CPC, VP Of Advisor Services, Unified Trust

Company, NA

(Please circle one)


Comments:

4:45 – 6:00 p.m.

Conference Center/Plaza Cocktail Party



Wednesday October 3, 2007

7:00 – 8:00 a.m.

Conference Center/Plaza Breakfast

8:00 – 8:30 a.m.

Salons F, G, H & I CFDD Introduction & Market Overview-Phil Chiricotti, President, Center for Due Diligence

KEYNOTE SESSIONS: (Includes three sessions by Fred Reish, David Wray & Don Trone)

8:30 – 9:30 a.m.

THE DIRECTION OF 401(k) PLANS: Present, Future & Beyond -Fred Reish, Managing Director, Reish Luftman Reicher & Cohen

(Sponsored by ING Retirement Services)

(Please circle one)




Comments:

Wednesday October 3, 2007 (Continued)

9:45 – 10:45 a.m.

FEES, EXPENSES & REVENUE SHARING: Are Fees Too High, Do Fiduciaries Understand Them, Disclosure & Government Requirements -David Wray, President, Profit Sharing/401(k) Council of America

(Sponsored by Diversified Investment Advisors)-Joseph Masterson, Sr VP, Chief Sales & Marketing Officer,

Diversified Investment Advisors

(Please circle one)


Comments:

11:00 – 12:00 p.m.



SAFE HARBOR & THE PPA: Navigating The Fiduciary Advisor Waters Safely-Donald B Trone, AIFA, CEO, Fiduciary360

(Please circle one)


Comments:


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