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Event Calendar / Why is the DOL Knocking on MY DOOR?”
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Why is the DOL Knocking on MY DOOR?”
With the DOL (Department of Labor) having hired nine hundred agents whose sole purpose is to audit qualified retirement plans, proactive preparation is key.

So, our efforts in this session will be directed towards preparing, in advance, for the likely possibility of a visit (soon) from the DOL.

We will describe in detail what will trigger an appearance by the auditors, from a complaint raised by a plan participant to failure to promptly direct deferrals from their compensation towards the plan to the lack of an Investment Policy Statement (IPS).

We will also touch on the topic regarding the importance of having an Investment Committee, having regular Investment Committee meetings and having the Plan follow the directions provided by the Investment Committee consistently.

We will expand on the definition of what are ‘reasonable’ fees charged to the Plan by its providers….from investments to recordkeeping and from accountancy to attorneys.

We will address the requirements for disclosure to Plan Sponsors by July 1 and the subsequent reporting regulations for plan participants on October 1.

And we will provide you with a checklist of what must be done and reported to whom.

We will be offering suggestion-solutions from both a legal perspective utilizing the more than quarter century of experience by Dale Vlasek of McDonald Hopkins and the quarter century of experience from Colin Fitzpatrick Smith of The Retirement Company, LLC. from an investment-fiduciary perspective.

We will provide you with access to the types of questions that may be posed to you by the Department of Labor when they arrive and the adverse consequences to everyone involved in your plan….from you to plan trustees and to your fellow plan participants.

And we will be able to answer any questions or address any concerns you might have during and after the webinar.
05/10/2012 1:30 pm o'clock
05/10/2012 2:30 pm o'clock
Colin Fitzpatrick Smith

Webcast information

Who should participate:

1. Human Resources management personnel 2. Members of the Plan’s Investment Committee 3. The Plan’s legal and investment representatives

What you will learn:

1. how to proactively prepare for the Department of Labor appearing on your doorstep; 2. how to enlist the aid and assistance of your plan advisors, in navigating through your audit; and 3. how to survive, unscathed, the actual audit if and when it occurs.

Recommended Resources:

Attendees can visit various internet access websites beginning with the Department of Labor ( or to make matters simpler, they may contact either Dale ( or Colin ( and they can provide pre (and post webinar) reading lists and websites.
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