DOL audits can be stressful, complicated and expensive! The best way to handle one is to avoid it in the first place. Outlined in this video are three hot button issues that are major red flags for the DOL. Watch this short video for the tips and best practices to help manage risk.
At Allworth Financial, we support employers and plan fiduciaries with compliance guidance and helping you maintain your fiduciary duty. Learn more about how we can support your business’ retirement plan.