Employer Report Card – Keeler Thomas Management

Name*

First Last

Email*

Phone (Optional)

Date*

Company/Institution*

Have you put in place a process to comply with 408(b)2 disclosures?*

Yes
No
Not sure

Do you have your plan’s goals and objectives formally documented?*

Yes
No
Not sure

Do you have a formal Investment Policy Statement and is it referenced during plan reviews?*

Yes
No
Not sure

Do you formally review your plan investments against appropriate benchmarks at least annually?*

Yes
No
Not sure

Do you know how the provisions (features, match, etc.) in your plan compare to industry averages?*

Yes
No
Not sure

Do you know what your plan's expenses are and how they compare with industry averages?*

Yes
No
Not sure

Do you measure the effectiveness of your education program each year?*

Yes
No
Not sure

Are you happy with the level of participation and contribution rates by employees in your plan?*

Yes
No
Not sure

Have you checked with your employees to see how well they understand the plan features and what information they need to make better investment decisions?*

Yes
No
Not sure

Do you have a documented method for keeping informed of changes that could affect your plan?*

Yes
No
Not sure

Do you know who is considered a fiduciary to your plan and have they acknowledged their status in writing?*

Yes
No
Not sure

Do you know what criteria to use for replacing an investment within your plan?*

Yes
No
Not sure

Do you know what are considered prohibited transactions?*

Yes
No
Not sure

Do you document the minutes of your retirement plan committee meetings?*

Yes
No
Not sure

Email

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