As an administrator, you do your best to keep your employee benefit plan in compliance, but is your plan ready for an independent audit by an accounting firm? Due to the complexity of the Department of Labor regulations governing employee benefit plans, and its many requirements, a plan audit can be overwhelming. Whether you have a small plan that does not need an audit or a large plan and you are preparing for your first audit, the following control processes may help avoid common compliance errors and make the audit process easier to manage:
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