Learn what to expect when the DOL comes knocking on your door. To help, we’ll walk you through a mock DOL interview from start to finish. Throughout the interview, our presenters will pause to provide insights on best practices. But that's not all – we'll also give you the chance to step into the hot seat and be interviewed yourselves. Our presenters will then comment on your answers and offer risk-mitigation tips. This interactive session will equip you with the knowledge and skills to handle a DOL investigation effectively while minimizing potential risks. Don't miss this invaluable opportunity to be prepared for the unexpected.
Learning Objectives:
Understand from a practical point of view what their fiduciary responsibilities are and what transactions to avoid.
Learn of any weaknesses in their ESOP plan operations so that they can improve to mitigate risks.
Feel comfortable about the DOL's objectives in conducting an investigation and adequately prepare for one should the circumstance arise.
Jose M. Jara, Esq. (he/him/his)
Counsel Fox Rothschild, LLP Morristown, NJ
Kjersti Cory
Independent Trustee SCJ Fiduciary Services Smithfield, KY