Fiduciary Compliance

Fiduciary Steps

As a plan sponsor, you have a variety of prudent actions that you should follow. Have you taken the necessary steps to address:

  • Plan Design

  • Plan Governance

  • Investment Due Diligence

  • Target Date Fund Selection

  • Fiduciary Compliance

  • Benchmarking Plan - Vendor Fees

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Fiduciary Plan Review

The Fiduciary Plan Review is an all-encompassing deliverable that provides education, documentation and plan metrics that aims to meet fiduciary responsibilities and improve operational efficiency.

  • Evaluates plan design and compliance issues

  • Charts participation, deferral rates and plan performance

  • Benchmarking Total Plan Cost

  • 404(c) Notice and Statement

  • Compliance Checklist

  • Fiduciary File Checklist

  • Investment Committee Charter

  • Ongoing Best Practices

Retirement Plan Fiduciary Oversight

Board of Directors

Retirement Plan Committee

401(k) Plan Participants

Fiduciary Fitness & Compliance

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Documentation

Proper documentation is a must for plan fiduciaries. Our best practices will help make sure your i's are dotted and your t's are crossed.

  • Investment committee charter

  • Investment policy statement

  • Investment monitoring reports

  • Fee benchmarking reports

  • Fiduciary compliance checklist

  • Fiduciary file checklist

  • Required notices and disclosures

  • Meeting Minutes

ERISA Guidance & Support

Navigating today's ever-changing and increasingly complex legal and fiduciary compliance landscape can be .. well .. a nightmare. Our goal is to help you sleep better at night with our in-house ERISA guidance.

  • In-house, former practicing ERISA attorneys

  • Regulatory and legislative changes

  • Relevant litigation developments

  • IRS and DOL audits

  • Annual audit assistance

  • Client advocacy 

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Receive your complimentary Fiduciary Compliance Assessment.

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