PROACTIVE FIDUCIARY COMPLIANCE.

Test your plan before it's challenged.

Our DOL audit simulation assures best practices

After successfully helping two large clients navigate a Department of Labor audit of their 401(k) plans in 2006, we developed a 141-point ISO-style conformance analysis that integrates the formal Standards and Practices defined by the Center for Fiduciary Studies, DOL audit protocols, and CEFEX’s fiduciary best practices.

FiduciaryInsight℠ is a formal fiduciary assessment of a plan’s operations, investments, and governance which identifies areas of concern and potential fiduciary shortfalls. These findings are then used as the basis for an action plan.

Based on our findings, we provide the specific recommendations needed to correct any fiduciary shortfalls that are identified.