Is Your 401(k) Plan Document File Ready for an Audit?

A fiduciary file checklist will help you to compile documents to keep your fiduciary audit file up-to-date and assist with periodic reviews of your retirement plan.

These documents should be readily at hand in the event that a DOL auditor shows up. This becomes easier if the advisor maintains an online filing cabinet for these and other plan documents that are also accessible to the plan sponsor.


View and download the Fiduciary Audit File Checklist here.


Please note, this information was developed as a general guide to educate plan sponsors and is not intended as authoritative guidance or tax/legal advice. Each plan has unique requirements, and you should consult your attorney or tax advisor for guidance on your specific situation.