Broadcast Date: Wednesday, October 07, 2020
from 12:00 pm to 1:00 pm (ET)


The Department of Labor Regulations on disclosure of 401(k) plan fees and expenses are designed to provide transparency to participants in a user-friendly format, allowing for an apples-to-apples comparison of fees and expenses under a plan’s investment options that impact participant account balances, and a look under the hood on plan administration costs charged to participant accounts.  But greater disclosure can lead to greater scrutiny, and an essential duty for plan sponsors is monitoring fees and expenses that could reduce participant account balances, and timely addressing excesses.

In this LIVE webcast for the Knowledge Group, Troutman Pepper employee benefits experts Paul Porretta and Mamta Shah will outline the 401(k) plan fee and expense disclosure requirements, and explain the best practices for plan sponsors in navigating this legal minefield.

Key topics will include:

  • 401(k) Fees & Expenses Plans Are Required to Disclose;
  • Avoiding Problems – Effective Investment Communications to Participants;
  • The Importance of an Up-to-Date Investment Policy Statement;
  • Monitoring Your 401(k) Investment Options, Recordkeeper, and Fees; and
  • Should You Engage an Investment Advisor or Investment Manager for Your Plan?


Course Level:



Advance Preparation:

Print and review course materials


Method of Presentation:

On-demand Webcast (CLE); Group-Internet Based



General knowledge of employee retirement plans


Course Code:



NY Category of CLE Credit:

Areas of Professional Practice


NASBA Field of Study:

Specialized Knowledge – Technical


Total Credit:

1.0 CLE

Speaker Panel:

Mamta Shah, Partner
Troutman Pepper Hamilton Sanders LLP

Mamta has experience advising public and privately-held companies on all aspects of employee benefits law, including the implementation, design and administration of qualified employee benefit plans (such as 401(k) plans, profit sharing plans and defined benefit plans), nonqualified deferred compensation arrangements, health and welfare plans, and severance, stock option and other equity and/or incentive based compensation plans. Mamta also has experience in employee benefits issues arising in the context of business transactions, such as corporate mergers, acquisitions and dispositions, with an expertise in benefits integration and disintegration.

Paul Porretta, Partner
Troutman Pepper Hamilton Sanders LLP

Paul L. Porretta is a partner in Troutman Pepper Hamilton Sanders LLP’s Employee Benefits and Executive Compensation practice group, resident in its New York office.

Mr. Porretta’s practice focuses on a wide range of services related to 401(k) plans, pension plans, multiemployer plans, employee stock ownership plan (ESOPs) and ERISA issues.  In addition, he has extensive experience with equity-based compensation, nonqualified deferred compensation, employment arrangements, health and welfare plans and HIPAA compliance.

Prior to joining Pepper Hamilton, Mr. Porretta was a partner with Morrison Cohen LLP and an assistant general counsel at MetLife.  He started his legal career at Thelen Reid Brown Raysman & Steiner LLP.

Mr. Porretta received a B.A. from Marquette University, a M.B.A. from Fordham University, a J.D. from New York Law School and a LL.M. in Taxation from the New York University School of Law.


Mamta Shah, Partner

Troutman Pepper Hamilton Sanders LLP


Paul Porretta, Partner

Troutman Pepper Hamilton Sanders LLP

  • 401(k) Fees & Expenses Plans are Required to Disclose
  • Avoiding Problems – Effective Investment Communications to Participants
  • The Importance of an Up-to-Date Investment Policy Statement
  • Monitoring Your 401(k) Investment Options, Recordkeeper, and Fees
  • Should You Engage an Investment Advisor or Investment Manager for Your Plan?

Date & Time:

Wednesday, October 07, 2020

12:00 pm to 1:00 pm (ET)


Download Course Materials

Who Should Attend:

  • Retirement Plan Sponsors, Fiduciaries, and Participants
  • Retirement Plan Practicing Lawyers
  • Employee Benefits & Compensation Lawyers and Consultants
  • Human Resource & Benefits Personnel
  • Retirement Plan Financial Professionals
  • Financial Advisers


Mamta ShahPartner
Troutman Pepper Hamilton Sanders LLP
Paul PorrettaPartner
Troutman Pepper Hamilton Sanders LLP



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