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ERISA Audits: What We All Knew but Forgot

Clear Law Institute

Feb. 13, 2019
Recorded Online

With the ever-changing landscape for employee benefit plans, it becomes easier and easier for an employer to fall out of compliance and risk exposure. Many employers mistakenly rely exclusively on their brokers and service providers to keep them legally compliant amidst the growing, complex regulations. However, when the Department of Labor or IRS wants to examine the benefits being offered to employees, it is important for an employer to be knowledgeable and ready.

In this practical webinar, you will learn how you can be “audit-ready” by ensuring documentation and procedures are in place to support compliance with federal laws. You will learn how to address document requests and compliance concerns. You will also learn how to identify priority areas for correction in employee benefit plans that will avoid penalties and expedite the audit process.

Upon course completion, you will be able to:

  • Determine the purpose of a DOL Audit
  • Identify a plan of action for:
    • Determining who should answer a request for an audit
    • How to handle the initial contact
    • Determining why you are being contacted
  • Describe the stages of an audit, including:
    • Desk Audit
    • Interviews
    • No Action Letters
    • Management Review
  • Prepare for document requests, including:
    • Typical requests for pension plans
      • DOL document requests
      • IRS document requests
    • Typical requests for welfare plans
  • Identify potential issues in documents, including:
    • Common issues for pension plans
    • Common issues for welfare plans
  • Prepare compliant documentation when presented with an audit
  • Proactively correct compliance issues based on a review of common mistakes
  • Expedite the audit process through advance preparation

Speaker: Rebecca Dobbs Bush, Partner, SmithAmundsen

Continue by clicking on the following link:

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