FIDUCIARY RESPONSIBLITY DOCUMENTS
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ByLaws
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Included
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ByLaws dtd
9.30.09 |
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Code of Ethics
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Included
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Ethics dtd
05.15.09 |
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Conflict of Interest Policy
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Included
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COIPolicy dtd
05.15.09 |
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Fiduciary Acknowledgement Letters
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Included
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SAMPLE LAST NAME dtd 02.4.08
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Fiduciary Recommended Reading Forms
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Included
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SAMPLE LAST
NAME dtd 02.4.08 |
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Internal Fiduciary Worksheet
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Included
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Fiduciary Worksheet dtd
5.15.09 |
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Meeting Minutes
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Included
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2009 - 2.12.09,
5.15.09, 09.09 Summary |
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INVESTMENT SELECTION AND MONITORING DOCUMENTS
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Investment Policy Statement |
Included
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IPS dtd 9.30.09 |
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IPS Review Checklist |
Not Included
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(SAMPLE) Use During Annual Plan Review and Scan/File |
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Quarterly Investment Reports |
Included
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2009 -
1st Qtr dtd 3.31.09,
2nd Qtr dtd 6.30.09 |
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Investment Call to Action
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Included
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2009 - 09.30.09 |
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PARTICIPANT COMMUNICATION DOCUMENTS
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Annual Participant Education Calendar
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Included
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2009 |
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Enrollment Kit |
Not Included
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Enrollment Kit |
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ERISA Section 404(c) Checklist |
Included
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Checklist |
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Fiduciary Adviser PPA Docs |
Included
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Fiduciary Adviser Agreement |
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Participant Education Material |
Included
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Education Topics Covered Listed
Here |
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PLAN ADMINISTRATION DOCUMENTS
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5500 Annual Report |
Included
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2007 2008 |
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Summary Annual Report |
Included
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2007 2008 |
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Annual Plan Administration Calendar |
Included
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2009 |
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Discrimination Testing |
Included
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Testing dtd 12.31.08 |
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Auditors Report |
Included
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2008 |
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Fidelity Bond Documentation |
Included
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Fidelity Bond (Expires June 2010) |
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Fiduciary Insurance Documentation
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Not Included
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PLEASE PROVIDE |
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Adoption Agreement |
Included
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2008 dtd 06.2008 |
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Plan Document |
Included
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Plan Doc 2008 |
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Summary Plan description |
Included
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SPD |
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Summary of Material Modifications
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Included
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SMM dtd 11.5.07 |
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SERVICE PROVIDER DUE DILIGENCE DOCUMENTS
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Provider Benchmark Reports |
Not Included
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To Be Covered 4th Qt 09 |
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Provider Expense Documentation |
Included
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Capital Bank & Trust Invoice
dtd 6.30.09
AMF 2008 Summary Report dtd 12.31.08
Fund Expense Worksheet dtd 8.20.09
Provider Fee Checklist dtd 8.20.09 |
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Provider Review Checklists |
Included
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Capital Bank & Trust dtd
9.30.09
Capital Research dtd 9.30.09
DSI Investment Advisory Agreement dtd 9.30.09 |
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Provider Selection Checklists |
Included
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Provider Selection Checklists
Listed by Vendor |
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Service Provider Contracts |
Included
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Capital Bank & Trust - Letter of Services Provided
DSI Investment Advisory Agreement dtd 02.05.08
DSI Fiduciary Advisor Agreement dtd 09.30.09
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This material is for informational purposes only and for
your reference. We are not responsible for the documents
uploaded to this area of the site. Please talk to a recordkeeper
regarding proper documentation of your plan.
