USA: How to successfully navigate a DOL ESOP investigation
“Dear Sir or Madam…our office has scheduled a review of the above captioned plan to determine compliance with the provisions of ERISA.” A formal notice from the Department of Labor (DOL) can bring a sense of unease to any employee stock ownership plan (ESOP) practitioner. However, by developing an understanding of why DOL ESOP investigations occur and familiarizing oneself with the DOL’s audit practices, navigating one will be less ominous. Read the full article here: https://findley.com/2020/08/how-to-successfully-navigate-a-dol-esop-investigation/
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