A Primer On DOL Probes For ERISA Plan Service Providers

By Michael Kreps, George Sepsakos and Arsalan Malik (October 7, 2021, 4:01 PM EDT) -- The U.S. Department of Labor has proactively shifted its enforcement resources in recent years from the sponsors of plans covered by the Employee Retirement Income Security Act to the financial institutions that provide services to ERISA plans.[1] This has allowed the agency to conduct investigations involving hundreds or thousands of plans at once rather than investigating individual plan sponsors....

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