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Live Webinar

90-minute live streaming program
  • February 26
  • 1:00 - 2:30 pm EST

Also available as:

OnDemand Webinar
Audio & Reference Manual
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ERISA Audits: What We All Knew but Forgot

February 26

Make sure your retirement plan is in full compliance and know what to expect when an audit is scheduled.

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 with growing complex regulations. When the Department of Labor or IRS comes knocking and looking to examine the benefits being offered to employees, it is important for an employer to be knowledgeable and ready.

Join Rebecca Dobbs Bush for this topic as she prepares employers how to best be audit-ready. You will learn how to discuss the goals and purpose of a DOL audit; describe the stages of an audit; review requested documents; and recognize what is being looked for. Rebecca will cover key concepts involved in employee benefit plans and the DOL Audit process, including:

- Identifying priority areas for correction and determining materials that will demonstrate compliance;

- Ensuring documentation and procedures are in place to support compliance with federal laws; and

- Correcting any compliance issues prior to an audit to avoid penalties and expedite the audit process.

Learning Objectives

- You will be able to discuss the goals and purpose of a DOL audit.

- You will be able to describe the stages of an audit.

- You will be able to review requested documents.

- You will be able to recognize what is being looked for.

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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Agenda

Goals and Purpose of a DOL Audit
Answering the Door/Phone
  • Who Should Answer
  • How to Handle Initial Contact
  • Why You Are Being Contacted
Stages of an Audit
  • Desk Audit
  • Interviews
  • No-Action Letters
  • Management Review
Documents Requested
  • Typical Requests for Pension Plans
    • DOL Requests
    • IRS Requests
  • Typical Requests for Welfare Plans
What They Are Looking for
  • Common Issues for Pension Plans
  • Common Issues for Welfare Plans
Common Mistakes
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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Credits

OnDemand Webinar

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

Live Webinar Registration

  • HR Certification Institute 1.5
     
  • This program has been approved for 1.5 recertification credit hours toward general recertification through the HR Certification Institute. For more information about certification or recertification, please visit the HR Certification Institute website at www.hrci.org.
     
  • SHRM 1.5
     
  • Lorman Education Services is recognized by SHRM to offer Professional Development Credits (PDCs) for the SHRM-CPSM or SHRM-SCPSM. This program is valid for 1.5 PDC(s) for the SHRM-CP or SHRM-SCP. For more information about certification or recertification, please visit www.shrmcertification.org.
     
  • CPE 1.8 including Personnel/HR 1.8
     
  • Lorman Education Services is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its web site: https://www.nasbaregistry.org/cpas/complaints. For more information regarding administrative policies such as complaint and refund, please contact our offices at 866-352-9539. CPE Credit: Maximum Credit Hours: 1.8 each session (based on a 50 minute credit hour). You must attend at least 50 minutes to obtain credit. Field of Study: Personnel/HR for 1.8 hours. Prerequisite: . Level of Knowledge: Intermediate. Teaching Method: Seminar/Lecture. Advance Preparation: None. Delivery Method: Group Internet Based. Please refer to the information in this brochure for outline, course content and objectives. Upon completion of this course, you will receive a certificate of attendance. Final approval of a course for CPE credit belongs with each state's regulatory board. Please note: In order to receive CPE credit for this course you MUST use the streaming audio option, as well as enable and complete the required progress checks.
     
  • Lorman Business Center, Inc. is a registered provider for CPA CPE through the State Education Department of New York, Sponsor number: 000640. The following course will carry the subject area of Advisory Services for 1.5 hours.
     
  • Lorman Business Center, Inc. has registered with the Texas State Board of Public Accountancy as a CPE Sponsor. This registration does not constitute an endorsement by the Board as to the quality of our CPE Program. This program qualifies for 1.8 hours of continuing professional education.
     

Audio & Reference Manual

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

MP3 Download

This program format does NOT qualify, nor meet the National Standard for NASBA accreditation.

Who should attend?

This live webinar is designed for human resource managers, benefits administrators, payroll managers, plan administrators, controllers, CFOs, finance directors, presidents, vice presidents, business and office managers.

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Why Lorman?

Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

Faculty

Rebecca L. Dobbs Bush

Rebecca L. Dobbs Bush

SmithAmundsen LLC

  • Of Counsel with SmithAmundsen LLC
  • Selected to the Illinois Super Lawyers list of “Rising Stars” for 2013, 2014, 2015, 2016, 2017
  • Practice emphasizes all aspects of Employee Benefits & Compensation; Employment Law; Government Regulation, Audit and Compliance; Staffing Agency, Independent Contractor & Contingent Workforce; Unfair Competition Counseling and Litigation; and Wage & Hour
  • Conducts regular seminars and webinars on numerous employment and labor law topics, including employment contracts, health care reform, employee medical issues, Affordable Care Act, Department of Labor Benefits, audit and compliance, and more.
  • Author of several publications related to the areas of employment law, including SmithAmundsen's Labor & Employment Law Update, a labor and employment advisory blog; Illinois Chamber of Commerce's Chamber Dispatch, an HR advisory blog; and contributing author of the Illinois Employment Law Handbook (Illinois Chamber's most comprehensive publication and reference guide for employers in complying with Illinois and federal labor and employment law)
  • Member of American Bar Association; Kane County Bar Association; Illinois State Bar Association; Illinois Association of Defense Trial Counsel; Wisconsin State Bar Association; National Society of Human Resource Management; Prairie du Chien Chamber of Commerce; American Benefits Council
  • J.D. degree, magna cum laude, Northern Illinois University College of Law; B.S. degree, Northern Illinois University
  • Can be contacted at (630) 587-7928, [email protected] or she can be followed on Twitter® @Dobbslawyer
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Over 31 years and 1.4 million customers worth of experience providing continuing education. Our passion is providing you world-class training to help you succeed in business and as a professional.

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Product ID: 401525
Published 2017, 2018
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