Compliance Review

Proactive review of plan operations can avoid audits or dramatically reduce their cost, prevent participant claims, streamline administration, and reveal plan design opportunities.  We offer suggestions and comments that go far beyond the minimum requirements of the law. Our staff will work cooperatively with the persons responsible for these functions, to assure that there will be a receptive response to our comments, and assist in implementation. 

Key Concepts in
Plan Compliance Management

Plan compliance reviews can be tailored to meet any client objectives. Review protocols are established and supervised by our senior personnel. 

Our services include:

  • Issue-specific review, designed to address particular compliance or administrative questions.

  • Pre-correction analysis, to determine whether contemplated remedial measures are adequate or are likely to meet with regulatory approval.

  • Category-specific review, of one or more categories of plan operation: reporting, disclosure, record keeping, administrative practices, or fiduciary actions.

  • Comprehensive review, covering all categories of plan operations.

        The product of our Reviews can be as detailed or formal as desired. Our engagement can be through counsel, to protect any available attorney-client privilege.


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