ERISA Compliance & Surviving a DOL Audit

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Transcript of ERISA Compliance & Surviving a DOL Audit

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The New DOL Fiduciary Rule: Impact on Mutual … files...recommendations made with respect to non-ERISA IRAs and other non-ERISA plans, the BIC Exemption allows investors to bring

The New DOL Fiduciary Rule: Impact on Mutual … files...recommendations made with respect to non-ERISA IRAs and other non-ERISA plans, the BIC Exemption allows investors to bring

Simplifying Insurance Insurance | Employee Benefits | Risk Management | Financial Strategies Surviving a Department of Labor (DOL) Audit.

Simplifying Insurance Insurance | Employee Benefits | Risk Management | Financial Strategies Surviving a Department of Labor (DOL) Audit.

ERISA plans need to be especially careful to review ... · der ERISA Sec. 101(k)); where the disclosure is “requested by govern-mental entities” (for example, in an audit DOL

ERISA plans need to be especially careful to review ... · der ERISA Sec. 101(k)); where the disclosure is “requested by govern-mental entities” (for example, in an audit DOL

You Belong Here · The Final DOL Conflict of Interest Rule: What It Means for Qualified Retirement Plans • Details on the final definition of ERISA fiduciary under the new regulation

You Belong Here · The Final DOL Conflict of Interest Rule: What It Means for Qualified Retirement Plans • Details on the final definition of ERISA fiduciary under the new regulation

DOL ERISA Fiduciary Rule Presentation · ─FI determines that a loan is an appropriate investment. •Investing is a fiduciary act •If choice/retention of a particular investment

DOL ERISA Fiduciary Rule Presentation · ─FI determines that a loan is an appropriate investment. •Investing is a fiduciary act •If choice/retention of a particular investment

ERISA Litigation Update for Health Plans ERISA Litigation Update for Health Plans ERISA Litigation Update for Health Plans ERISA Litigation Update for.

ERISA Litigation Update for Health Plans ERISA Litigation Update for Health Plans ERISA Litigation Update for Health Plans ERISA Litigation Update for.

ERISA Update

ERISA Update

ERISA, DOL, and AICPA Audit Quality · PDF fileNCACPA EBP Conference May 7, 2014 ERISA, DOL, and AICPA Audit Quality Initiatives 1 Ian MacKay, CPA Director EBPAQC

ERISA, DOL, and AICPA Audit Quality · PDF fileNCACPA EBP Conference May 7, 2014 ERISA, DOL, and AICPA Audit Quality Initiatives 1 Ian MacKay, CPA Director EBPAQC

Form 5500 Overview and Proposed Changes · The Employee Retirement Income Security Act (ERISA) was signed in 1974. The U.S. Department of Labor (DOL) is the agency responsible for

Form 5500 Overview and Proposed Changes · The Employee Retirement Income Security Act (ERISA) was signed in 1974. The U.S. Department of Labor (DOL) is the agency responsible for

DOL/ERISA Issues an Investment Advisory Perspective David C. Franceski, Jr., Esquire Stradley Ronon Stevens & Young, LLP William P. Simon, Jr. Managing.

DOL/ERISA Issues an Investment Advisory Perspective David C. Franceski, Jr., Esquire Stradley Ronon Stevens & Young, LLP William P. Simon, Jr. Managing.

SterlingRisk and Stacy Barrow Present - Surviving a DOL Audit

SterlingRisk and Stacy Barrow Present - Surviving a DOL Audit

Workplace Wellness Programs and Compliance with DOL & … · Wellness Programs: Background 2 1996: HIPAA adds Part 7 of ERISA to counter certain discriminatory practices by plans

Workplace Wellness Programs and Compliance with DOL & … · Wellness Programs: Background 2 1996: HIPAA adds Part 7 of ERISA to counter certain discriminatory practices by plans

The Phia Group's October Webinar - A Call to Action · ERISA and HIPAA compliance. An aggrieved medical provider ultimately tipped off the DOL regarding the plan’s practices, and

The Phia Group's October Webinar - A Call to Action · ERISA and HIPAA compliance. An aggrieved medical provider ultimately tipped off the DOL regarding the plan’s practices, and

Fiduciary Investigations Program - DOL...for breach of fiduciary duty"; 410, "Exculpatory provisions; insurance"; 412, "Bonding"; and violations involving ERISA, Title I, part 7. ROs

Fiduciary Investigations Program - DOL...for breach of fiduciary duty"; 410, "Exculpatory provisions; insurance"; 412, "Bonding"; and violations involving ERISA, Title I, part 7. ROs

Strategies for Handling a DOL Investigation · robust practice assisting covered service providers in meeting their ERISA compliance needs. Earlier in his career, Tom worked for the

Strategies for Handling a DOL Investigation · robust practice assisting covered service providers in meeting their ERISA compliance needs. Earlier in his career, Tom worked for the

ERISA Compliance

ERISA Compliance

Fiduciary Training: ERISA Duties & Obligationsdownload.pli.edu/WebContent/pm/185989/pdf/03-20-17_0900_100095_Panel_rev1.pdfFiduciary for the ERISA Plans •ERISA “Named Fiduciary”

Fiduciary Training: ERISA Duties & Obligationsdownload.pli.edu/WebContent/pm/185989/pdf/03-20-17_0900_100095_Panel_rev1.pdfFiduciary for the ERISA Plans •ERISA “Named Fiduciary”

ERISA Compliance - SHRMakronarea.shrm.org/sites/akronarea.shrm.org/files/2015...ERISA Defined (cont’d.) •DOL (Department of Labor) –Failure to comply with ERISA’s requirements

ERISA Compliance - SHRMakronarea.shrm.org/sites/akronarea.shrm.org/files/2015...ERISA Defined (cont’d.) •DOL (Department of Labor) –Failure to comply with ERISA’s requirements

Erisa Claims

Erisa Claims

Instructions for Form 5500-SF - DOL...General Instructions to Form 5500-SF-3- ERISA, see Field Assistance Bulletins 2009-02 and 2010-01, available on the DOL website at Exempt From

Instructions for Form 5500-SF - DOL...General Instructions to Form 5500-SF-3- ERISA, see Field Assistance Bulletins 2009-02 and 2010-01, available on the DOL website at Exempt From