COLLABORATION • COMPLIANCE • CONVENIENCE

COMPLIANCE 401K IS THE PLAN’S ERISA 3(16) ADMINISTRATIVE FIDUCIARY & MORE IMPORTANTLY, THE ERISA 402(a) NAMED PLAN SPONSOR, TRUSTEE & FIDUCIARY

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DELIVER ALL REQUIRED ERISA NOTICES TO PLAN PARTICIPANTS

EVALUATE AND MONITOR ALL LOANS AND DISTRIBUTIONS TO ENSURE THAT THEY’RE PROCESSED IN ACCORDANCE WITH IRS AND DOL RULES AND PLAN PROVISIONS

ALL PLAN DOCUMENTS ARE STORED IN CLOUD VAULT WITH 24-7 ACCESS

OVERSIGHT OF ALL 401(k) PLAN DAY-TO-DAY ADMINISTRATION AND OPERATIONS                                                                                                                                                                                                                                                   

VERIFY THAT ALL PLAN OPERATIONS ARE ADMINISTERED IN ACCORDANCE WITH THE PLAN DOCUMENT

VERIFY AND DETERMINE SUBSTANTIATION OF HARDSHIP REQUEST

RESPOND AND COORDINATE TO ANY IRS OR DOL AUDIT OR INVESTIGATION

REVIEW OF TPA AND RECORDKEEPER SERVICE PERFORMANCE IN ACCORDANCE WITH FIDUCIARY BEST PRACTICES

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REVIEW, SIGN AND FILE THE IRS FORM 5500

OVERSIGHT OF QDROs CONSISTENT WITH THE TERMS OF THE COURT’S ORDER

ANNUALLY REVIEW OF FIDELITY BOND TO ENSURE ADEQUATE COVERAGE