404(a) / 404(c) Guidance
Since the enactment of ERISA (The Employee Retirement Income Security Act of 1974) there have been more than a dozen major pieces of legislation impacting the design and operation of retirement plans. And with recent legislation such as EGTRRA and Sarbanes-Oxley, the complexity of 401(k) plans has never been greater.
AmRET® compliance resources and consulting expertise helps to protect plan fiduciaries and executives from financial loss due to DOL and IRS penalties, as well as ERISA and employee civil litigation.
Compliance Checklist
- Investment Policy Statement
- Investment Due Diligence Process and Sample Documentation
- 404(c) Policy Statement and Notice
- 404(c) Fee Disclosure
- 404(a) Monitoring