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Some DOL Investigations Shift Focus
Drinker BiddleLink to more items from this source
Jan. 16, 2015

"[A recent] investigation for [a] California employer ... focused on the standard litany of issues (e.g., late deferrals and reconciliation of trust data). However, the DOL also focused its inquiry on the specific investments in the plan and, specifically, whether the share classes of those investments were appropriate. This investigation also involved a reconciliation of the direct and indirect compensation as reported on the Schedule C, Form 5500 to the service provider invoices which were required to be produced to the DOL."

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