In 2026 and beyond, EBSA will intensify investigations into ESOPs, driven by concerns over compliance, fiduciary duties, and participant asset protection. Key investigation areas include fiduciary breaches, valuation accuracy, plan administration, and ERISA compliance. Emerging challenges involve complex valuations, executive compensation ties, and evolving regulations. Recommendations for fiduciaries focus on ensuring compliance and managing risks. Looking ahead, enforcement will continue with proactive audits, development of best practices, and collaboration with stakeholders to enhance transparency and accountability. In this session, you'll learn how to handle a DOL investigation appropriately, how to prepare for the investigative process, and what proactive steps you might take before the investigation ensues.

Learning Objectives:

1. Learn how to handle a DOL investigation appropriately.
2. Develop an understanding of the investigative process to adequately prepare for it.
3. Discover proactive steps to take before an investigation ensues

Please note that there is a cost to attend.