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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 - 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

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

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

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

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

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