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Employee Benefit Plans 2016

23 - A Walk Through IRS and DOL Exams

May 10, 2016 2:10pm ‐ May 10, 2016 3:25pm

Standard: $49.00


The IRS and DOL have very active enforcement examination programs. Although their focus may be different, they share information about plans and plan sponsors; this session will be led by both an IRS and DOL exam agent investigator discussing what each regulatory body is typically looking for and how they approach the exam. Attendees will:
• Hear about the preliminary information letter that is sent to the plan sponsor at the outset of the examination, and they will review the preferred types of documentation to be received in response to the requests
• Learn about the general focus of each exam and the agency’s development of target areas
• Develop appropriate skills for assisting a client with these examinations, learn how to prepare for an exam, how to conduct a proper pre-exam review and survive the exam


  • Lisa J. Beard, Director, Employee Plans Examination, Internal Revenue Service
  • Lisa Germano, President and General Counsel, Actuarial Benefits & Design Company
  • Klaus Placke - Invited, Acting Regi, Employee Benefits Security Administration - San Francisco Regional Office

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