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[Plan Sponsor Guide] Fiduciary Audit File Checklist

  • PWMG
  • Feb 4, 2019
  • 1 min read

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

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PWMG 401(k) Advisors

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WORCESTER

324 Grove Street
Second Floor

Worcester, MA 01605

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CHICOPEE

450 Memorial Drive, Suite 407

Chicopee, MA 01020

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Phone: (855) 508-401k
Fax: (508) 519-8426

Web: www.pwmg401k.com

Email: info@pwmg401k.com

Check the background of this firm on FINRA’s BrokerCheck.

 

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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, AZ, CA, CO, CT, DC, DE, FL, GA, MA, MD, ME, NC, NH, NJ, NM, NY, OH, PA, RI, SC, TX, VA, VT, WA, 

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