Free Report and Checklist

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To access your free report  and “Meeting Your Fiduciary Responsibilities” Checklist

If you want to know if your plan may be out of compliance and how it rates compared to your peers take this short quiz below.

    (1) Are you aware that as any decision-maker involved with your 401k plan may be PERSONALLY and FINANCIALLY liable as a fiduciary (Supreme Court ruling: Larue vs. DeWolff, Feb 2008)?

    YesNoNot Sure

    (2) Does your advisor disclose in writing that they act as a fiduciary to your plan, thereby sharing your liability exposure?

    YesNoNot Sure

    (3) If you have an advisory agreement, does it state if your advisor is an ERISA 3(38) and 3(21) (a)(a)(i) fiduciary, thereby, taking on full investment decisions and liability exposure?

    YesNoNot Sure

    (4) Does your plan have a written Investment Policy Statement (IPS) confirming acceptable investment selection and monitoring procedures?

    YesNoNot Sure

    (5) Do you document procedures and meeting minutes for your required, quarterly plan trustee meetings?

    YesNoNot Sure

    (6) Does your 401k plan have a documented Conflict of Interest policy statement?

    YesNoNot Sure

    (7) Are you aware the DOL targets plans that reimburse investment related fees or expenses (revenue sharing)?

    YesNoNot Sure

    (8) Does your advisor act as an independent ERISA regulated fiduciary?

    YesNoNot Sure

    If you answered NO or NOT SURE to ANY question you may be exposed to an audit or lawsuit, and at personal financial risk. Contact us to show you how to reduce your personal liability, reduce your work load and improve compliance while helping your employees save better for retirement.

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