720-289-5100
steve.perkins@erisafiduciarycompliance.com
Fiduciary Compliance
Resolving compliance issues for Qualified Plans
Compliance Program
As the Plan Administrator, the best practice is to have a compliance program for your qualified plans to ensure that the plans are operating correctly and efficiently within the rules, regulations and other requirements. An effective compliance program includes the following elements:
Evaluation
Evaluate your current operations to identify potential weaknesses that allow for unwanted compliance risk.
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Policy & Procedure
Establish and maintain effective policies and procedures for the operations and administration of your qualified plans.
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Testing for Effectiveness
Periodic review and testing of the policies and procedures to ensure these procedures are effective and consistently followed.
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Qualified Plan Corrections
Contact us for assistance in resolving any regulatory corrections
EPCRS (SCP/VCP)
We can analyze and resolve, with necessary regulatory filings or internal documentation, any operational or documentary failure that is needed for your plan in order to bring the plan back into compliance.
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VFCP
Did the Plan’s Form 5500 filing include a reporting of late contributions? We can get this corrected for you, ASAP.
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DFVCP
Late on filing Form 5500’s? We can get this corrected and minimize any penalties that may be due.
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Remote RIA CCO
Is your firm a Registered Investment Advisor in the qualified plan’s space? We provide the following CCO services using an outsourced or remote approach.
Registration
Need to register with another state or change to a federally registered firm? We can assist you in this process as well as maintain your registration on an annual basis.
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Compliance Program
Are resources tight and the compliance program is not getting the necessary attention? We can organize and maintain your required compliance program.
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Compliance Review
We can review the effectiveness of your compliance program with periodic testing and reviews to ensure your compliance program is effective.
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Contact
720-289-5100
steve.perkins@erisafiduciarycompliance.com