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Don't Take Your Plan For Granted - Fiduciary Misconceptions

Whitepaper explaining five misconceptions of a retirement plan sponsor's duty. Includes a plan sponsor self-assessment and checklist.

  • Aug-03-2016
  • Whitepaper
  • public
  • PUB ID: RETX016255

Wagner Law Group DOL Fiduciary Rule Presentation

A presentation prepared by the Wagner Law Group providing an overview of the new DOL Fiduciary Rule.

  • Jun-06-2016
  • Presentation
  • advisor

Helpful Tips to Prepare for a Retirement Plan Audit

Whitepaper offering insights to help plan sponsors and advisors prepare for a plan audit by providing a road map to help determine whether an audit is required, whether it can be limited in scope, what that means for the plan and how to select an auditor with the proper expertise.

  • Jul-27-2016
  • Whitepaper
  • advisor
  • PUB ID: RETX016252

ACES Year-End Service Checklist

This form summarizes key services that have been provided over the course of the year and provides a preliminary plan to schedule service delivery in the year ahead. Helps financial professionals reaffirm the level of service they are offering to plan sponsors.

  • Jun-28-2016
  • Worksheet
  • public
  • PUB ID: TAPX015809-W12

ACES Service Summary Worksheet

A worksheet summarizing all of the services a Financial Professional could offer a 401(k) plan. Allows the Financial Professional to indicate whether he/she wishes to deliver each service once a year, twice a year, quarterly, or just on an "as needed" basis.

  • Jun-28-2016
  • Worksheet
  • public
  • PUB ID: TAPX015809-W5

ACES Financial Professional Evaluation Questionnaire/Survey

An evaluation used to help plan sponsors rate the services of their current financial professional.

  • Jun-28-2016
  • Worksheet
  • public
  • PUB ID: TAPX015809-W4

ACES Fee Assessment Worksheet

A form designed to help plan sponsors conduct an inventory of the fees they are currently paying to various service providers.

  • Jun-28-2016
  • Worksheet
  • public
  • PUB ID: TAPX015809-W3

ACES Annual Review Agenda and Discussion Guidelines

A comprehensive set of agenda guidelines including 6 potential discussion topics. Designed to help financial professionals confirm the annual review date and items for review.

  • Jun-28-2016
  • Worksheet
  • public

ACES 404(c) Information Checklist

A checklist intended to facilitate a Plan Sponsor's review of whether required information is being provided to participants. Covers both mandated disclosures and those triggered by participant requests.

  • Jun-28-2016
  • Worksheet
  • public
  • PUB ID: TAPX015809-W11

ACES Education Policy Statement Worksheet (Part A)

A summary to use with plan sponsors focused on participant education - why it is important, key processes and activities and communications strategies.

  • Dec-11-2013
  • Worksheet
  • public
  • PUB ID: TAPX015809-W6

IMPORTANT INFORMATION: All investments involve risk, including loss of principal. Past performance is no guarantee of future results. Please see each product’s web page for specific details regarding investment objective, risks, performance and other important information. Review this information carefully before you make any investment decision.

Carefully consider a fund’s investment objectives, risks, charges and expenses before investing. Please view the prospectus or summary prospectus for this and other information. Read it carefully.

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