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Employer Report Card
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Have you put in place a process to comply with 408(b)2 disclosures?
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Do you have your plan’s goals and objectives formally documented?
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Do you have a formal Investment Policy Statement and is it referenced during plan reviews?
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Do you formally review your plan investments against appropriate benchmarks at least annually?
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Do you know how the provisions (features, match, etc.) in your plan compare to industry averages?
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Do you know what your plan's expenses are and how they compare with industry averages?
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Do you measure the effectiveness of your education program each year?
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Yes
No
Not sure
Are you happy with the level of participation and contribution rates by employees in your plan?
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Yes
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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?
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Yes
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Do you have a documented method for keeping informed of changes that could affect your plan?
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Yes
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Do you know who is considered a fiduciary to your plan and have they acknowledged their status in writing?
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Do you know what criteria to use for replacing an investment within your plan?
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Yes
No
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Do you know what are considered prohibited transactions?
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No
Not sure
Do you document the minutes of your retirement plan committee meetings?
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No
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Why Us
Services
Financial Planning
Investment Management
KTM Family Legacy Pathways™
401(k) Advisory
About Us
Resources
Insights
Event Calendar
Video Gallery
Assessments
Contact
Get Started
FINRA Broker Check
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(801) 226-0800
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