Fiduciary File Checklist - An Advisor Must Have

Are Your Client’s 401(k) Documentation Prepared for a DOL Audit?

Fiduciary Benchmarks’ 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.