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- Conduct preliminary plan diagnostic and review to check for any fundamental compliance exposures.
- Identify, document and understand the true cost of plan services and the costs borne by the employer, plan, and participant. Benchmark plan costs against fellow employers in comparable peer groups.
- Secure improved financial disclosure from plan service providers, including potential conflicts-of-interest.
- Create, implement and maintain an Investment Policy Statement that is consistent with compliance standards.
- Create, implement and maintain an Investment Due Diligence process that is consistent with compliance standards.
- Create, implement and maintain a participant and trustee education framework that is consistent with compliance standards.
- Keep track of recent news on compliance issues and continually monitor plan investment options.
