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Current IRS & DOL Audit Initiatives

SPONSORS: The Sections of Business Law; Health Law; Labor and Employment Law; Real Property, Trust and Estate Law; Taxation; Tort Trial and Insurance Practice; and the American College of Employee Benefits Counsel

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A Chat with Monika Templeman and Jeffrey Monhart

A 90-minute TeleConference
THURSDAY, August 18, 2011

1:00-2:30 pm ET / 12:00-1:30 pm CT / 11:00 am-12:30 pm MT / 10:00 am-11:30 am PT

Moderator: Joy M. Mercer, Joy M. Mercer PC, Florham Park, NJ

Panelists: Jeffrey Monhart, Acting Director, Office of Enforcement, Employee Benefits Security Administration, U.S. Department of Labor, Washington, DC; Monika A. Templeman, Director, EP Examinations, TE/GE, Internal Revenue Service, Baltimore, MD; Kirk M. Paxson, Area Counsel Pacific Coast TEGE, Internal Revenue Service, Los Angeles, CA; Matthew Johnson, Attorney, Area Counsel Great Lakes, Internal Revenue Service, Chicago, IL; Sarah Sandusky, Attorney, Area Counsel Great Lakes, Internal Revenue Service, Chicago, IL; and Christina M. Crockett, Hunton & Williams LLP, McLean, VA

The distinquished panel will discuss the following topics:

  • Current IRS audit initiatives, including:
    • International Issues
    • Employer securities
    • Funding of pension plans
  • Next steps regarding the 401(k) questionnaire
  • New project on 403(b) plans at higher education institutions
  • Plan disqualification - recent litigation
  • Current DOL audit initiatives, including:
    • ESOPs
    • Revenue sharing and other issues with plan advisor agreements
    • Inappropriate investments
  • When does the failure to comply with fiduciary rules result in criminal action by the DOL?

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Current IRS & DOL Audit Initiatives
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