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Fiduciary Audit File

Fiduciary Audit File. Fiduciary Audit File binder contents: Service Agreements 1. Recordkeeping and Administrative Services Agreement 2. Qualified Retirement Plan Agreement ADV Forms 3. Custodial Agreement E-Statement Agreement Plan Documents

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Fiduciary Audit File

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  1. Fiduciary Audit File

  2. Fiduciary Audit File binder contents: Service Agreements 1. Recordkeeping and Administrative Services Agreement 2. Qualified Retirement Plan Agreement ADV Forms 3. Custodial Agreement E-Statement Agreement Plan Documents 4. Formal Record of Adoption 5. Adoption Agreement QDRO Procedures Loan Procedures (if applicable) Automatic Rollover Services Agreement (if applicable) 6. Basic Plan Document 7. IRS Determination Letter 8. Summary Plan Description 9. Default Investment Notice 10. Sarbanes-Oxley Blackout Notice (if applicable) 11. Fidelity Bond Investment Monitoring 12. Retirement Plan Committee Systems Manual Retirement Plan Committee By-laws and Operating Procedures Retirement Plan Committee Members Fiduciary Acknowledgement Letter Fiduciary Services System Manual Investment Policy Statement Fiduciary Mandate Monitoring (including Fund Scorecard) Retirement Plan Committee Minutes

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