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Insider's Guide to DOL Audits
Insider's Guide to DOL Audits
Author: Edward A. Schutzman, Nicholas W. Ferrigno, Frank J. Bitzer
Written by three former DOL investigators, Insider's Guide to DOL Audits saves you time, worry, and money by providing expert assistance with the intimidating prospect of a DOL audit. Filled with exclusive, insider tips, this unique resource will help you deal with some of today's most pressing issues, including:
  • Pr...  more »
  • DOL enforcement projects on fees, including 12(b)(1) and Sub TA fees
  • Self-dealing and kickbacks
  • Fiduciary duties
  • Civil and criminal enforcement processes
These experienced auditors also deliver case studies and examples from their own experience representing the government - and clients - during DOL audits. And Insider's Guide to DOL Audits includes numerous forms and checklists to keep you on track before, during and after the process. Insider's Guide to DOL Audits stands out as the one source that provides:
  • Expert guidance on dealing with EBSA investigators before, during and after an audit
  • Insight into the key areas the DOL is targeting for enforcement
  • A "playbook" for plan administrators, TPAs and their advisers
  • Practical forms, checklists, and other documents
Insider's Guide to DOL Audits has been updated to include:
  • Discussion of increased investigations and enforcement efforts by the DOL?s Employee Benefits Security Administration (EBSA)
  • Coverage of the newly formalized cooperative efforts between the DOL and the Securities and Exchange Commission (SEC) in the areas of investigation and enforcement
  • Discussion of revisions to Form LM-30, Labor Organization Officer and Employee Report
  • Detailing of the investigative steps involved in real estate?related issues, trust department issues, common investment funds (real estate), mortgage loan investments, and conflicts of interest (cash management)
  • Analysis of the HIPAA updates from the American Recovery and Reinvestment Act of 2009 (ARRA)
  • Proposed regulations on disclosure in participant-directed individual account plans
  • Updated directories of ERISA Advisory Council Members and EBSA contact information for federal, regional, and district offices
  • Updated list of companies serving as acceptable sureties on federal bonds and as reinsurers
ISBN-13: 9780735564855
ISBN-10: 073556485X
Publication Date: 9/19/2007
Pages: 514
Edition: Lslf
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Publisher: Aspen Publishers, Inc.
Book Type: Ring-bound
Members Wishing: 0
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