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ACES Worksheet - 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.

  • Oct-17-2019
  • Worksheet
  • public

ACES Worksheet - Document Checklist

A checklist of documents that can provide valuable insights into a plan's goals, needs and history.

  • Oct-17-2019
  • Worksheet
  • public
  • PUB ID: TAPX015809-W1

ACES Worksheet - Fee Assessment Worksheet

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

  • Oct-17-2019
  • Worksheet
  • public
  • PUB ID: TAPX015809-W3

ACES Worksheet - Planning Calendar

A planning calendar that allows for preliminary scheduling of meetings and educational services. Includes reminders of key dates in 401(k) plan administration.

  • Oct-17-2019
  • Worksheet
  • public
  • PUB ID: TAPX015809-W8

ACES Worksheet - Finals Presentation Checklist

Checklist to ensure financial professionals are well prepared for their finals presentation. Includes recommended activities before, during and after a finals presentation.

  • Oct-17-2019
  • Worksheet
  • public
  • PUB ID: TAPX015809-W9

ACES Worksheet - 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.

  • Mar-30-2020
  • Worksheet
  • public
  • PUB ID: TAPX015809-W13

ACES Worksheet - Financial Professional Evaluation Questionnaire/Survey

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

  • Oct-17-2019
  • Worksheet
  • public
  • PUB ID: TAPX015809-W4

ACES Worksheet - Common Fiduciary Concerns Questionnaire

Questions for plans sponsors to consider when reviewing areas for improvement when performing their role as a fiduciary.

  • Oct-17-2019
  • Worksheet
  • public
  • PUB ID: TAPX015809-W2

ACES Worksheet - 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.

  • Oct-17-2019
  • Worksheet
  • public
  • PUB ID: TAPX015809-W5

Whitepaper - Don't Take Your Plan For Granted: Fiduciary Misconceptions

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

  • Jun-08-2020
  • Whitepaper
  • public
  • PUB ID: RETX016255

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.

FINANCIAL ADVISORS: Please note that not all share classes may be available for sale at your firm. Please call the Legg Mason Sales Desk 1-800-822-5544 or your Legg Mason Sales contact for more information.