Congratulations, Your Health and Retirement Plans Have Been Selected for a DOL Audit!

March 20, 2018
11:00 AM - 12:30 PM
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Maggiano's Post Oak
2019 Post Oak Blvd
Houston, TX 77056
Venue website

ERISA is one of the most cumbersome and complex laws employers must navigate, and no employer can afford to sail without a plan. The risk of being selected by the DOL for an audit has never been higher. With an increased enforcement emphasis, a world of litigation, and healthcare reform (maybe?), the DOL’s activity is presenting employers with difficult compliance obligations. Avoiding a DOL audit is the ultimate goal, but if selected, plans must be prepared in order to achieve the best outcome. Learning objectives of this workshop include:

  • Understand how the DOL is organized and operates;
  • Learn about the authority of the DOL under ERISA and what your fiduciary rights and obligations are;
  • Recognize how and why your Retirement and/or Health plans are selected for an audit, including red flags;
  • Learn about the process of the audit, what the DOL is looking for, what your obligations to provide information are, and what you can expect to occur from beginning to end;
  • Get tips and best practices to make the process run as smoothly as possible


Speaker: Sam Henson, CEBS, SVP, Director of Legislative & Regulatory Affairs, Lockton

In his daily role, Sam oversees ERISA compliance, DOL/IRS activities, and the legislative landscape for more than 50,000 Lockton clients and 6,000 associates.  Prior to joining Lockton, Sam spent almost 10 years with the U.S. Department of Labor’s Employee Benefits Security Administration, where he conducted more than 150 civil and criminal investigations of employee benefits plans, service providers, and fiduciaries.  Sam also supervised enforcement efforts for benefit plans funded by prevailing wage laws under the Service Contract Act and Davis-Bacon Act.  He is the 2011 recipient of the Secretary of Labor’s Exception Achievement Award.  Sam is the 2018 ISCEBS Governing Council Vice President and serves on the Policy Board of the American Benefits Council, the Board of Directors of DCIIA, and is a member of the American Bar and ASPPA.  He has been a nationally featured speaker and author on numerous fiduciary topics.  Sam earned his Juris Doctorate at the University of Missouri-Kansas City School of Law and holds CEBS – Fellow, RPA, GBA, and ASPPA - APM designations.


$25.00 Member
$35.00 after 12:00 pm March 6

$45.00 Guest
$55.00 after 12:00 pm March 6