Orange County Breakfast Forum: DOL Confidential

DOL Confidential

ERISA is one of the most cumbersome and complex laws employers must navigate, and no employer can afford to sail without a plan.  The risk of being selected by the DOL for an investigation has never been higher.  With an increased enforcement emphasis, fee disclosure regulations and the re-definition of fiduciary on the horizon, the DOL's activity is presenting plans with difficult new compliance obligations.  Avoiding a DOL investigation is the ultimate goal, but if selected, plans must be prepared in order to achieve the best outcome.  Learning objectives of this workshop will include:

• Understand how the DOL is organized and operates
• Learn about the authority of the DOL, IRS and PBGC under ERISA
• Recognize how and why a benefit plan becomes selected for an investigation including red flags, targeted issues, and the DOL's goals
• Learn about the process of the investigation, what the DOL is looking for, what your obligations to provide information are, and what you can expect to occur from beginning to end
• Learn about your fiduciary obligations, duties, and governance best practices
• Get tips and best practices to make the process run as smoothly as possible

Our speaker will be Samuel A. Henson, J.D., Vice President-Senior ERISA Counsel for Lockton Retirement Services.  He is a subject matter expert on ERISA compliance, DOL/IRS activities, and the legislative landscape.  

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