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PANC 2021: Investigation Lessons Learned From Experience

Published: October 6, 2021

One tip is that being in a state of audit-readiness is essential for retirement plan advisers and their plan sponsor clients—both for peace of mind and to make a good impression with regulators.

Source: planadviser.com

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Justine KimPeter ChanBrad CampbellValerie MirkoExchange CommissionDivision Of ExaminationsEmployee Benefit Security AdministrationDivision Of EnforcementBaker MckenzieNational ConferenceDepartment Of LaborLessons Learned From ExperienceFaegre DrinkerAssistant SecretaryEmployee BenefitsHow InvestigationsEarly Investigation ProcessAdviser ReviewsEmployee Retirement Income Security ActInvestigation TimeframesDocument Negotiations