EBP2417. A Stroll Through a DOL Investigation and an IRS Exam

IRS examinations highlight target areas but also are random to determine what is the next focus area. DOL investigations seek to determine fiduciary compliance, including proper documentation. This session will review the methods used and recent observations

Learning Objectives:

• Identify the key areas for current enforcement actions.
• Identify the approach taken during the enforcement actions.
• Apply the knowledge learned to questions that plan sponsors should be asked when providing value added services to your engagement.