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ERISA Audits: What We All Knew but Forgot

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. Employers can best be 'audit-ready' by ensuring documentation and procedures are in place to support compliance with federal laws. This topic will help the person responsible for these employee benefit plans be ready when that knock comes along so they can ensure that document requests are easily addressed and compliance concerns are met. This content will assist in identifying priority areas for correction and determining materials that will demonstrate compliance. Correcting any compliance issues prior to an audit will avoid many penalties and expedite the audit process.


Runtime: 85 minutes
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Why Lorman?

Over 30 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 30 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.

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.

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Why Lorman?

Over 30 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
  • As a former human resources consultant, has a unique understanding of the legal landmines clients face every day; hot topic issues like employee benefits, executive compensation and ERISA can be exceedingly difficult for employers to navigate without strong and dedicated counsel
  • Thoughtfully and skillfully provides management with advice and counsel in employee benefit compliance, administration issues and employment litigation
  • Represents employers in various matters arising under federal and state employment laws, including wage and hour claims and audits, discrimination and retaliation claims and contract disputes; also helps employers navigate the quagmire of health care reform compliance
  • Selected to the Illinois Super Lawyers list of “Rising Stars”: 2013, 2014, 2015, 2016
  • J.D. degree, magna cum laude, Northern Illinois University; B.S. degree, Northern Illinois University
  • Can be contacted at 630-587-7928, [email protected] or on Twitter® @Dobbslawyer
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Why Lorman?

Over 30 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: 396820
Published 2017
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