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DOL Audits are a Reality


February 1, 2013 – For at least two years, there has been speculation in the insurance industry that the U.S. Department of Labor (DOL) would be increasing audits of all size business for Employee Retirement Income Security Act (ERISA) compliance.

In January, the DOL began sending audit letters to businesses in Texas. In addition to sending the audit letters, DOL auditors also began conducting in-person audits at selected businesses. Apparently, the DOL is looking for compliance in several areas, including:

IBTX can assist you with advice and information about ERISA liability and compliance. Consider teaming up with IBTX’s ERISA professionals who can help guide your clients and your agency into compliance.

For questions concerning ERISA, or other employee benefits, contact us at

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