Retirement Plan Fiduciary Compliance Checklist Form
Document and track key fiduciary compliance review items for your organization's retirement plan.
Retirement Plan Name
*
Plan Year or Review Period
*
Date of Review
*
 -
Month
 -
Day
Year
2 digit month, 2 digit day, 4 digit year
Date
Reviewer Name
*
First Name
Last Name
Plan documents and procedures have been reviewed for compliance updates.
Completed
Ongoing plan monitoring and operational compliance checks have been performed.
Completed
Service provider oversight and due diligence have been documented.
Completed
Plan fees and expenses have been reviewed for reasonableness.
Completed
Investment options have been reviewed and monitored.
Completed
Participant communications have been reviewed and are up to date.
Completed
Submit Compliance Checklist
Should be Empty: