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401(k) Plan Regulatory Updates, Reminders and Best Practices

  • 13 Apr 2021
  • 11:50 AM - 1:00 PM
  • Virtual Via Zoom or In Person at the Norris Conference Center, 618 NW Loop 410, San Antonio, TX 78216


Approved for 1.0 Professional Development Credit (PDC) through SHRM and pending approval for 1.0 Recertification Credit through HRCI


401(k) Plan Regulatory Updates, Reminders and Best Practices

Program Description

During the session, attendees will walk through the challenges faced by all retirement plan sponsors, including vendor selection, investment due diligence/target date fund selection, and red flags. Participants will receive actionable information to help them meet their fiduciary obligations to their 401(k).

1. Understand roles of vendors

2. Understand investment and target date fund fiduciary obligations

3. Understand 3(16), 3(31) and 3(38) services

4. Recognize red flags of plan design



Linde Murphy

Linde Murphy, Managing Director of Argent Retirement Plan Advisors, works with corporations, nonprofits, and municipalities to provide guidance on retirement plans.  This guidance includes structure, implementation, ongoing documentation, review, and modification. Linde is also Chief Compliance Officer of M.E. Allison & Co., Inc., an investment banking firm specializing in municipal finance. In her work with M.E. Allison & Co., she is responsible for staying abreast of compliance updates, providing guidance on rule changes, updating procedures, and implementing processes to maintain high compliance standards. Ms. Murphy currently serves on the FINRA Board of Governors (Elected) and the FINRA Small Firm Advisory Board (de facto).  She previously served on the FINRA Southern District Committee (Elected), the FINRA Fixed Income Committee (Appointed) as well as the FINRA Regulatory Advisory Committee (Appointed).

Ms. Murphy is a speaker on compliance topics, including fixed income markets, supervision, anti-money laundering, suitability, municipal issue challenges, senior investor issues, regulatory updates, and alternative investments. Ms. Murphy attended the FINRA Institute at Wharton Executive Education program in 2014, where she obtained her Certified Regulatory and Compliance Certification. Linde’s board memberships include Chair Elect of KLRN-PBS Station, former Vice Chair of San Antonio Botanical Garden, Las Casas Foundation, Collaborative Professionals Association of San Antonio, and Chi Omega Alumnae Association, Leadership San Antonio Class 40, and Steering Committee of Leadership San Antonio Class 42.

Meeting 11:50 a.m. to 1:00 p.m.

SAHRMA Member registration - $30
Non-Member registration $40
SAHRMA Student $10


Pork Tenderloin

Pan seared pork tenderloin medallions finished with zesty creole

mustard and peppercorn sauce, fresh field greens, sliced tomatoes, shredded cheddar cheese and assorted dressings. Served with rolls, butter, dessert, freshly brewed iced tea

and water station

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