Erisa dol audit checklist
COSE MEWA
The DOL has broad authority to investigate or audit an employee benefit plan’s compliance with ERISA. Traditionally, DOL audits of employee benefit plans have focused primarily on retirement plans, such as 401(k) plans. However, now that the DOL …
[DOC File]Daines Insurance | Serving Texarkana
https://info.5y1.org/erisa-dol-audit-checklist_1_8b4ef3.html
Common triggers for a DOL audit include: Participant complaints to the DOL about potential ERISA violations. In 2013, according to a DOL audit summary, 775 new investigations were …
[DOCX File]Firm Preparedness Checklist - AICPA
https://info.5y1.org/erisa-dol-audit-checklist_1_962e63.html
This checklist addresses general firm preparedness issues for ERISA audits including: the firm’s quality control (QC) policies and procedures related to the ERISA audit practice, firm-wide inventory of ERISA EBP audits, client acceptance review and auditor independence, reporting requirements and audit …
[DOCX File]PLAN - Home | Alger
https://info.5y1.org/erisa-dol-audit-checklist_1_ef63ae.html
(e.g., DOL audit). Presentation: Date Presented ... Plan Checklist. ... The summary is based upon general principles in the Internal Revenue Code of 1986, as amended (the “Code”), the Employee Retirement Income Security Act of 1974, as amended (“ERISA”), as well as certain guidance issued under the Code and ERISA …
[DOC File]FIS - Relius, Benefit Planning and Recordkeeping Solutions
https://info.5y1.org/erisa-dol-audit-checklist_1_b5e2f9.html
SEP Checklist – Reprint of IRS Publication (642) Separate Lines of Business. Demonstration 1 (851) Service Provider Fee Disclosures. Checklist of Covered Service Provider Disclosure Requirements – ERISA §408(b)(2) Regulations (607) Service Provider Fee Disclosure Form – ERISA …
[DOC File]Daines Insurance | Serving Texarkana
https://info.5y1.org/erisa-dol-audit-checklist_1_31001a.html
The Department of Labor (DOL) has broad authority to investigate or audit an employee benefit plan’s compliance with the Employee Retirement Income Security Act (ERISA). Audits are performed by the DOL…
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