Fiduciary Compliance Consulting

We pride ourselves on our proactive approach to fiduciary compliance consulting that can greatly reduce plan sponsor liability. Implementing prudent processes can ensure a plan remains compliant and reduce administrative burdens. Below are just a few examples of ways we help our clients:

  • Committee Chartering formalizes the delegation of fiduciary and administrative duties while providing protection for the Named Fiduciary and the committee members.
  • Annual Board Report assists in fulfilling the Named Fiduciary’s duty to monitor the committee
  • Our proprietary 408(b)(2) Compliance Review goes beyond ensuring receipt of the necessary Covered Service Provider disclosures and ensures that all three prongs of the prohibited transaction exemption are met
    Expense Policies reduce the added complexity of share classes when selecting investment offerings
  • Fiduciary Education ensures committee members stay informed about the responsibilities associated with being a plan fiduciary

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