DOL Investigations of Employee Benefit Plans: Navigating Enforcement Actions, Audits and Settlements

Strafford

The agencies responsible for overseeing ERISA-regulated employee benefit plans continue to ramp up investigations and enforcement actions. EBSA recovered $777.5m on behalf of plans, participants and beneficiaries in FY 2016, closing 20% more cases than in 2015. EBSA conducts civil and criminal investigations and has the authority to refer cases to other governmental agencies such as the IRS, SEC, PBGC or U.S. Attorney’s Office.

Listen as our experienced panel prepares employee benefits counsel to represent plan fiduciaries and sponsors facing government agency investigations or audits. The panel will discuss how to navigate the investigation process, offer practice pointers on working with EBSA investigators, and discuss strategies for determining and implementing corrective action and deciding whether to enter into a settlement agreement.

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