Retirement Plan Compliance Knowledge Base

Straightforward answers to the questions employers and plan fiduciaries ask most — written by the team behind Fiduciary In A Box.

Retirement Plan Fiduciary Basics Who is a fiduciary to a 401(k), 403(b), or pension plan, the standard they're held to, and what personal liability really means. 5 questions Retirement Plan Committees & Governance Building the committee structure that makes retirement plan decisions defensible — charters, membership, cadence, and minutes that hold up. 5 questions Retirement Plan Documents & Design The documents behind DC, DB, and nonqualified plans — what governs the plan, what participants must receive, and keeping it all current. 5 questions Retirement Plan Compliance Filings The filings and follow-through that keep a retirement plan compliant — Form 5500, 8955-SSA, 5330, forfeitures, SECURE 2.0, and PBGC basics. 5 questions Retirement Investments & the IPS How prudent plans build and monitor an investment menu — the IPS, 404(c) protection, QDIAs, adviser models, and review cadence. 5 questions Retirement Vendors, Fees & Protection Overseeing recordkeepers, TPAs, and advisers; proving fees reasonable; and insuring the plan and its fiduciaries. 5 questions