Document List
The majority of these
reports are furnished to us by the
custodian of the investments. Once we
are engaged to perform the audit, we will contact the custodian to request that
these reports be sent to us. We will
also request from the employer selected copies of its reports generated from
its HR and Payroll department as it relates to the 401(k) plan
participants. These types of reports can
be emailed (scanned), mailed or faxed to us.
- Plan document, adoption agreement and all amendments
- IRS determination letter
- SAS 70 report
- Summary plan description
- List of all parties in interest.
- Plan sponsor financial statements
- Discrimination tests
- Form 5500 with all supporting schedules
- Participant trial balance for the Plan year.
- Distribution forms for distributions during the Plan year
- Loan documents for all participant loans
- A schedule of deposits to the Plan on a pay period basic
- Forms W-2 or other annual payroll registers and reports
- Form 1099 for distributions
Certification report for the Plan custodian
