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Department of Labor Audits ERISA

Given the rise in class litigation in the ERISA context, the Department of Labor (DOL) has stepped-up its9 audit practice with regard to various aspects of ERISA plans. In particular, the DOL has recently focused on issues related to evidence of insurability and retained asset accounts. Being prepared and taking preventative steps can help reduce the length of an audit and ultimately avoid any ensuing fines.

Below are representative examples of how our experienced ERISA team can help guide you through the maze of a DOL audit.

  • Assist employers, plans, and plan fiduciaries to identify areas of risk, including fees, claims processing, communications, and purported conflicts of interest.
  • Defend clients in DOL audits, help clients narrow potential scope of DOL audit, and assist clients in reducing potential areas of liability.
  • Advise clients on how to best create remedial measures to address DOL concerns in the most cost-effective and convenient manner for their business.
  • Counsel clients on the potential interaction between DOL audits and private litigation, including class cases.

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