DOL Investigations of Employee Benefit Plans: Responding to Enforcement Actions, Audits, and Settlements

A live 90-minute CLE webinar with interactive Q&A

Thursday, November 7, 2019

1:00pm-2:30pm EST, 10:00am-11:30am PST

Early Registration Discount Deadline, Friday, October 11, 2019

or call 1-800-926-7926
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This CLE webinar will prepare employee benefits counsel to represent plan fiduciaries and sponsors facing Department of Labor (DOL) investigations or audits. Our experienced panel will discuss how to navigate the investigation process, offer practice pointers on working with the Employee Benefits Security Administration (EBSA) investigators, discuss strategies for determining and implementing corrective action, and offer insights into whether to enter into a settlement agreement.

Description

The agencies responsible for overseeing ERISA-regulated employee benefit plans continue to ramp up investigations and enforcement actions. EBSA conducts civil and criminal investigations and has the authority to refer cases to other government agencies such as the IRS, SEC, PBGC, or U.S. Attorney's Office.

Investigations can drag on for months or years once a plan sponsor or fiduciary is the target of an inquiry. Benefits counsel must carefully examine the agency's claims, identify and collect extensive documentation, and create an investigation strategy that will resolve the agency's allegations and foreclose further action.

Counsel must also decide whether or not to enter into a settlement agreement, not always a straightforward decision when settlement can result in an automatic penalty in addition to the cost of remedial measures.

Listen as our expert panel prepares employee benefits counsel to represent plan fiduciaries and sponsors facing government agency investigations or audits. The panel will discuss how to navigate the investigation process, offer practice pointers on working with EBSA investigators, and discuss strategies for determining and implementing corrective action and deciding whether to enter into a settlement agreement.

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Outline

  1. Overview of DOL/EBSA regulatory scheme and enforcement initiatives
  2. Best practices for responding to investigations and audits
  3. Working with auditors and investigators
  4. Corrective action and settlements

Benefits

The panel will review these and other relevant issues:

  • What factors should counsel to plan sponsors consider when determining whether to seek settlement of an enforcement action?
  • What are the challenges and pitfalls for negotiating settlements and penalties with EBSA?
  • What are best practices for ensuring compliance and avoiding agency scrutiny?
  • What are the DOL's enforcement initiatives focusing on in 2019?

Faculty

Berio Lebeau, Ivelisse
Ivelisse Berio LeBeau, Esq.
Partner
Sugarman & Susskind

Ms. Berio LeBeau's practice focuses on employee benefits law and ERISA with an emphasis on litigation and...  |  Read More

Jara, José
José M. Jara
Partner
Archer & Greiner

Mr. Jara has over 20 years of ERISA and employee benefits experience, ranging from governmental compliance,...  |  Read More

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Strafford will process CLE credit for one person on each recording. All formats include program handouts. To find out which recorded format will provide the best CLE option, select your state:

CLE On-Demand Video

48 hours after event

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DVD

10 business days after event

$247 + $19.45 S&H