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Year-end is coming! Complete these year-end 401(k) plan tasks to stay compliant

Year-end is coming! Complete these year-end 401(k) plan tasks to stay compliant

by cpaadmin | Nov 15, 2024 | 401k Compliance, 401k Plan Audit Documentation, Audit Deadlines

“It’s the most wonderful time of the year…” Frozen turkeys go on sale, holiday carols fill the airwaves… and retirement plan sponsors check off those year-end 401(k) plan tasks to stay compliant. (That’s what you were thinking, too, right?) Because by the end of the...
Annual 401(k) plan notices are due December 2. Are you ready?

Annual 401(k) plan notices are due December 2. Are you ready?

by cpaadmin | Oct 15, 2024 | 401k Auto-Enrollment, 401k Communication, 401k Compliance, Employee Addition, Regulations & Policies, Safe Harbor 401(k)

Autumn is well underway, and with it comes those seasonal tasks: Hire the neighborhood kid to rake fallen leaves… Check. Stock up on candy for Halloween trick-or-treaters… Check. Put together this year’s annual 401(k) plan notices…   Check?! Consider this a gentle...
Understanding your fiduciary responsibilities as a 401(k) plan sponsor

Understanding your fiduciary responsibilities as a 401(k) plan sponsor

by cpaadmin | Sep 15, 2024 | 401k Compliance, Fiduciary, Record Retention, Regulations & Policies

Understanding your fiduciary responsibilities as a 401(k) plan sponsor is critical to staying compliant and protecting yourself from personal liability. In short, no matter what, the buck stops with you. (Yes, we made a visual pun! Enjoy.) The Department of Labor...
What happens if I miss a 401k plan audit deadline?

What happens if I miss a 401k plan audit deadline?

by cpaadmin | Jul 15, 2024 | 401k Plan Audit, 401k Plan Mistakes, Audit Deadlines, Audit Procedures

As a plan sponsor, you’ve got a lot on your plate, and it’s easy to back-burner certain tasks—like your annual 401(k) audit. If you’re wondering (hypothetically or not), “What happens if I miss a 401k plan audit deadline?” … Here’s your...
Is your 401(k) plan “large” or “small”? —for audit purposes, that is.

Is your 401(k) plan “large” or “small”? —for audit purposes, that is.

by cpaadmin | Jun 15, 2024 | 401k Compliance, 401k Plan Audit, Audit Procedures, Preparing for a 401(k) audit, Regulations & Policies

Here’s how to determine the number of qualifying participants for your 401(k) audit.   The total number of participants with balances in your retirement plan drives how the IRS Code and the Department of Labor see your plan. For audit purposes, this definition...
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