DOL Audits happen, are you prepared?
By taking proactive measures, conducting due diligence and documenting your plan actions, you can help position your 401(k) plan to pass an audit. To help you prepare, here are 8 key steps and a list of fiduciary documents to have on hand.
Get our Guide to Understanding DOL Audits below and share it with your retirement plan committee.
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Cetera Wealth Partners is a region of Cetera Advisor Networks. Securities and advisory services offered through Registered Representatives of Cetera Advisor Networks LLC. (doing insurance business in CA as CFGAN Insurance Agency LLC), member FINRA/SIPC, a broker/dealer and a Registered Investment Adviser. Cetera is under separate ownership from any other named entity.