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IRS and DOL Audit Issues for Retirement Plans

Winston & Strawn

Aug. 7, 2018
Recorded Online

Winston & Strawn’s Employee Benefits & Executive Compensation Practice will present an eLunch titled “IRS and DOL Audit Issues for Retirement Plans” on August 7, 2018.

Attorneys Nancy Gerrie and Abby Brothers will discuss key issues faced by plan sponsors during IRS and DOL audits of retirement plans. The most common problem areas identified by IRS and DOL agents will be addressed, with practical tips for plan sponsors on how to establish and maintain internal controls to help avoid compliance errors.

Topics will include:

  • The most significant issues DOL agents focus on during audits, including missing participants, late payroll deposits, and missed employee communications
  • The most significant issues IRS agents focus on during audits, including definitions of compensation, age 70-1/2 distributions, employee eligibility requirements, and properly updated plan documents
  • Steps employers can take in order to improve their internal controls for compliance with IRS and DOL requirements


  • Nancy S. Gerrie, Partner, Winston & Strawn
  • Abby Brothers, Associate, Winston & Strawn

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