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12/15/2014: Too Hot to Handle? The Truth About Retirement Plan Audits (PDF) (Roland|Criss, via Journal of Compensation and Benefits)
5 pages. "[A]voiding penalties and other enforcement actions from the DOL can be as easy as taking a few steps to prepare prior to a DOL audit. Effective preparation entails understanding how the retirement plan audit has evolved and changed over time, and what issues are top of mind for the DOL in its current audit investigations.... [S]taying attuned to just a few potential 'red flag' areas of retirement plan management can keep plan sponsors ahead of the audit game and provide them with peace of mind that their policies are in compliance with ERISA mandates."
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