The EPCU works compliance checks and performs data analysis to focus on areas of potential non-compliance. A compliance check is not an IRS audit, although responses to a compliance check can result in an IRS retirement plan audit. A compliance check is generally initiated in the form of a questionnaire/checklist that the Sponsor needs to complete and submit. Failure to complete and timely submit the checklist can trigger an IRS audit:
For additional information on EPCU compliance checks, see EPCU – General FAQs.
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