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

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


Wednesday, November 10, 2021

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

Early Registration Discount Deadline, Friday, October 15, 2021

or call 1-800-926-7926

This CLE course will prepare employee benefits counsel to represent plan fiduciaries and sponsors facing Department of Labor (DOL) investigations or lawsuits. 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 entering into a settlement agreement with the Employee Benefits Security Administration (EBSA) or with the DOL’s Solicitor’s Office if referred for litigation.

Description

EBSA is responsible for overseeing ERISA-regulated employee benefit plans, and it continues 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 to 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 and the cost of remedial measures.

Listen as our expert panel prepares employee benefits counsel to represent plan fiduciaries and sponsors facing EBSA investigations. The panel will discuss how to navigate the investigation process, offer practice pointers on working with EBSA investigators, discuss strategies for determining and implementing corrective action and deciding whether to enter into a settlement agreement with EBSA, and discuss strategies if a matter is referred for litigation to the DOL’s Solicitor’s Office.

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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 or plan fiduciaries consider when determining whether to seek settlement of an enforcement action?
  • What are the challenges and pitfalls for negotiating settlements and penalties with EBSA? With the DOL’s Solicitor’s Office?
  • What are best practices for ensuring compliance and avoiding agency scrutiny?
  • What are the DOL's enforcement initiatives focusing on in 2021 leading into 2022?

Faculty

Berio Lebeau, Ivelisse
Ivelisse Berio LeBeau, Esq.

Partner
The Wagner Law Group

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

Counsel
Fox Rothschild

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

Attend on November 10

Early Discount (through 10/15/21)

Cannot Attend November 10?

Early Discount (through 10/15/21)

You may pre-order a recording to listen at your convenience. Recordings are available 48 hours after the webinar. Strafford will process CLE credit for one person on each recording. All formats include course handouts.

To find out which recorded format will provide the best CLE option, select your state:

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