Plan Sponsor COMPLIANCE
POLICY & PROCEDURE GUIDE
Prudent Practices for Investment Stewards
PS Guide: Administration & Reporting
PS Guide: Governance & Documentation
PS Guide: Selecting Service Providers
Education - Plan Administration
Education - Defining Plan Success
Plan Gov & Documentation - Simple
DOL Interp Bulletin Part Inv Edu
Education Policy Statement Template
Education Policy Statement Template 2
Sample QDIA Policy - Balanced Funds
Sample QDIA Policy - Managed Accounts
Sample QDIA Policy - Target Date Funds
Investment Committee Code of Ethics
Investment Committee Conflict of Interest Policy
Roles & Responsibilities Worksheet - Completed
INVESTMENT REVIEW
fi360 Investment Review Sample
RiskAlyze Sample Report on Funds in Plan
Benchmark Reports
Quarterly Investment Reports from Custodian
PARTICIPANT EDUCATION
Participant Inquiry Resolution
Enrollment Kit
Participant Education Materials
RiskAlyze Report on Funds in Plan
FIDUCIARY FILE
Templates
404c Checklist
Needs Assessment Worksheet
Fiduciary Acknowledgement Letter
Sample Acceptance to Serve on IC
Fiduciary Resignation Letter
Trustee Acknowledgement Letter
Investment Committee Acknowledgement Letter
Participant Inquiry Resolution
Roles & Responsibilities Worksheet
Participant Education Notifications
Participant Education Attendance Confirmation
Participant Education Sign In Sheet
PLAN QUESTIONNAIRES
SAFE
fi360 SAFE for Investment Stewards
INVESTMENT POLICY STATEMENT
IPS Review Checklist - Template
IPS Review Checklist Completed
FIDUCIARY FILE
Completed
Plan Document
Summary of Plan Description
Summary of Material Modifications
Service Provider Contracts
Fidelity Bond Documentation
Fidelity Insurance Documentation
Fiduciary File Checklist
Fiduciary Audit Checklist
Exam Prep File Checklist
IPS Review Checklist
408 Disclosure Worksheet
Investment Review Checklist
Plan Expense Worksheet
404c Information Checklist
404c Checklist
Fee Assessment Worksheet
Needs Assessment Worksheet
Services Summary
Year End Services Checklist
IPC Meeting Minutes
Fiduciary Acknowledgement Letter
Fiduciary Resignation Letter
Trustee Acknowledgement Letter
Investment Committee Acknowledgement Letter
Participant Education Notifications
Participant Education Attendance Confirmation
Participant Education Sign In Sheet
Participant Inquiry Resolution