News & Analysis as of

A Retirement Plan Sponsor’s Guide for Selecting Their Financial Advisor

When it comes to your role as a retirement plan sponsor, outside of hiring a TPA (third party administrator), the most important plan provider that you need to hire is a financial advisor. Unfortunately, like my favorite...more

Mistakes a Plan Sponsor Should Correct Before an IRS/DOL Audit

I have been in the retirement plan business for over 15 years and I have met too many plan sponsors who don’t care that their plan isn’t being run correctly. What makes them eventually care is when they are audited by the...more

Right from the Source: IRS Guidance for U.S. Plan Sponsors on Fixing Mistakes and Surviving IRS Employee Plan Audits

Those of you who participated in our July 16 webinar on plan fix-it programs heard us emphasize the importance of self-audits and internal controls to increase your chances of coming out clean in an employee plan audit....more

The Smaller The 401(k) Plan, The Bigger The Problems

401(k) plans are a world of contradictions. It’s one of the few employer provided benefits that an employee usually pays for through their account balance. It’s a retirement plan that an employer offers that the employee has...more

U.S. Plan Audit Activity is on the Rise – How to Lower Your Risk

Does your 401(k) plan pay higher than average fees? Do you have more than one qualified plan? A number of recent reports indicate why you may receive special scrutiny if your plan is selected for audit or...more

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