Deferred Compensation Compliance Audit Form
Use this Deferred Compensation Compliance Audit Form to review and document the compliance status of your deferred compensation plan.
Plan Name
*
Plan Sponsor Organization
*
Audit Period (Start and End Dates)
*
Name(s) of Responsible Party/Parties
*
Compliance Scope (Select all that apply)
*
Plan Document Review
Operational Compliance
Reporting & Disclosure
Contribution Limits
Distribution Rules
Other
List of Reviewed Documentation
*
Were any compliance exceptions identified?
*
Yes
No
Describe Any Compliance Exceptions or Issues Found
Corrective Actions Taken or Recommended
Additional Reviewer Comments
Submit Audit
Should be Empty: