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Federal Regulatory Inquiries, Audits and Investigations

The United States Department of Labor (DOL) and the Internal Revenue Service (IRS) are just two of the federal agencies that have jurisdiction over qualified retirement plans, including employee stock ownership plans (ESOPs), and non-qualified deferred compensation plans. Informal inquiries, formal audits and comprehensive investigations can be an uninvited, expensive distraction for corporate boards and management teams of the companies sponsoring non-qualified deferred compensation plans and qualified retirement plans.

We have substantial experience defending against DOL and IRS inquiries, audits and investigations. Our representations are designed to simplify the process and eliminate unnecessary distraction and expense. In addition, we offer our clients a comprehensive program for ensuring that plan documents remain current and properly and timely reflect requirements imposed by new federal legislation, reducing the likelihood of unwanted issues in the future.