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It’s important to understand which SOC 1(s) may be applicable to your plan for reporting and auditing purposes.
One important regulatory responsibility you have as the plan sponsor of a qualified defined contribution retirement plan is to ensure the plan’s Form 5500 is filed each plan year.
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The Plan Year End Summary package provides the information about the plan assets Fidelity recordkept during the plan year and has been designed to assist with the preparation of the Form 5500 and related schedules.
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It is important to understand vesting as part of an annual plan audit.
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For an Auditor or a 3rd party to receive access to PSW®, the plan sponsor must complete the Fidelity PSW® Auditor Access form.
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Learn about preparing for an audit that is required for qualified defined contribution retirement plans.
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Best practices to help plan sponsors meet their fiduciary responsibilities for during an IRS or DOL Audit.
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