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[Plan Sponsor Guide] Fiduciary Audit File Checklist


As a retirement plan sponsor, a fiduciary audit file checklist will help you to compile documents to keep your fiduciary audit file up-to-date and assist with periodic reviews of your plan.

These documents should be readily at hand in the event that a DOL auditor shows up. This becomes easier if the advisor maintains an on-line filing cabinet for these and other plan documents that are also accessible to the plan sponsor.

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CONTACT PWMG 401(k) ADVISORS

PWMG 401(k) Advisors

 

11 Foster Street, Suite 200

Worcester, MA 01608

OFFICE:   (508) 749-0352

FAX:         (508) 519-8426

WEB:        www.pwmg401k.com

EMAIL:     mlemay@pwmgllc.com

Check the background of this firm on FINRA’s BrokerCheck.
Securities and Advisory Services offered through LPL Financial, a Registered Investment Advisor. Member FINRA/SIPC

The LPL Financial Registered Representatives associated with this site may only discuss and/or transact securities business with residents of the following states: AL, AR, AZ, CA, CT, DC, DE, FL, GA, IN, MA, MD, ME, MO, NC, NH, NJ, NM, NY, PA, RI, SC, TX, UT, VA, VT, WA, WV.