Regulatory Compliance Association Reviews

DOL Investigation & Enforcement

Date: October 17, 2019
General Session: 12:00 PM ET to 1:30 PM ET
Location: Webcast (Free)

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This course will educate the viewer on the overall structure of the U.S. Department of Labor’s Employee Benefits Security Administration (“EBSA”) with an emphasis on EBSA’s enforcement strategy.  The program will focus on the types of investigations EBSA conducts, the sources of those cases and the steps involved in the investigation.  More specifically, the presentation will elaborate on the types of documents requested, the interview process and EBSA’s voluntary compliance letters issued to ERISA plans once our findings have been made.  Lastly, the speakers will discuss the EBSA’s Voluntary Fiduciary Correction Program which allows for plans to correct certain violations before EBSA investigations and, if done properly, receive a “No Action” letter from the Department. 

Learning Objectives

  1. Identify the structure of the EBSA
  2. List the sources of EBSA cases
  3. Define the types of investigations and areas of review of civil cases
  4. Recognize the steps involved in an EBSA investigation
  5. Comprehend the types of corrections needed for voluntary compliance
  6. Discover the EBSA’s VFCP and how it can benefit your plan

Session Chairman:

Walter Zebrowski, JD, CPA, Principal, Hedgemony Partners
Chairman, Regulatory Compliance Association

Senior Fellow from Practice:

Lois La Londe, Supervisory Benefits Adviser, US Department of Labor

Guest Lecturers:

Mark Seidel, Supervisory Investigator, US Department of Labor

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