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Resources

Questions to Ask a Plan Recordkeeper

Plan Conversions |

Make sure the potential new recordkeeper is a good fit for the plan and the employer by asking these questions BEFORE the decision is made to transfer the plan’s administration. Learn More >

Designing a Retirement Plan for Phased Retirement

Plan Design |

Employers who want to benefit older workers that are partially retired may want to consider these plan design changes. Learn More >

Understanding Revenue Sharing

Fiduciary Issues |

Indirect fees calculated on plan assets and paid to service providers as revenue sharing must be monitored and understood by plan fiduciaries. Learn More >

IRS LESE Program and Compliance Questionnaire

Audit |

IRS compliance programs provide employers with insight on focus areas for plan audit. Learn More >

Administering a Top Heavy Plan

Nondiscrimination Testing |

Top heavy testing is performed each year to determine if the Key employees own a significant portion of the total plan assets. Learn More >

Understanding ADP and ACP Testing

Nondiscrimination Testing |

ADP and ACP testing can be very complex. This article provides a high level overview of the important elements of the testing. Learn More >

Ensuring Participant 401k and loan repayments meet DOL regulations

Audit |

Internal controls ensure contributions and loan repayments are deposited timely and accurately. Learn More >

Dispelling the Myth: Is a 3(16) Fiduciary Really Necessary?

Amber M. Lloyd, APA, CMFC, CFP®, ERPA | Fiduciary Issues |

Read the service provider 3(16) contract closely to see if you are really getting enhanced service and reduced liability for the expense. Learn More >

New IRS Program Offers Relief for Late Filers of Form 5500-EZ

Caryn P., QKA | Form 5500 |

The IRS has made available a pilot program for Form 5500 EZ filers to send in delinquent filings with no penalty. Learn More >

Coverage Testing When Spouses Each Own a Business

Controlled Groups |

When spouses each own separate, unrelated businesses, the presence of minor children can create a controlled group across both companies for coverage testing purposes. Learn More >

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