New Department of Labor Proposal Regarding ESG Funds in 401(k) Retirement Plans

A recent proposal by the Department of Labor (DOL) would put restrictions on the ability of a 401(k) Plan Fiduciary to include ESG Funds (Environmental, Social and Governance Funds) in their..

Topics: 401K Audit

Search the blog:

Another Concern During the Pandemic – Data Security

Topics: 401K Audit

The CARES Act and Your 401(k) Plan

Topics: 401k plan

401(k) Plan Documents – Updates for CARES Act 2020

Topics: 401k plan

Requested documents for a 401(k) plan audit

Topics: 401K Audit

Our Top Five 401(k) Blogs for May 2020

Topics: 401k plan

Reviewing Participant Loans

Topics: 401K Audit

Summary Annual Report

Topics: 401k plan

New DOL Rules Regarding Required Disclosures

Topics: 401k plan

Is Your 401k Plan in Compliance & Audit Ready?

Things to Consider as a Plan Sponsor During these Difficult Times

Common errors in 401K Audits [Part 2]

Topics: 401K Audit

Reviewing Your 401(k) Plan Investment Performance

Topics: 401k plan

Your Upcoming Form 5500 Deadline

Topics: 401k plan

2020 Update: Required Minimum Distribution (RMD)

Topics: 401k plan

What to Include in Your 401(k) Plan Document Retention Policy

Topics: 401k plan

Your Fiduciary Duty - Monitoring Your 401(k) Plan Service Providers

Topics: 401k plan

Our Top Five 401(k) Blogs for April 2020

Topics: 401k plan

401(k) Participant Loans in Difficult Times

Topics: 401k plan

401k Audit Report – What to look for

Topics: 401k plan

Distributing Your 2020 Fee Disclosure to Plan Participants

Topics: 401k plan

What to expect from a 401(k) Audit

Topics: 401K Audit

Increased Cyber-security Attacks on 401(k) Plans Due to Pandemic

Topics: 401k plan

Virtual 401(k) Audits – Tips from Summit CPA Group

Topics: 401K Audit

Common errors in 401K Audits [Part 1]

Topics: 401K Audit

Pooled Separate Accounts - 401(k) Plan Investments

Topics: 401k plan

401(k) Plan Investments-Mutual Funds

Topics: 401k plan

Our Top Five 401(k) Blogs for March 2020

Topics: 401k plan

401(k) Investments: Common Collective Trusts

Topics: 401k plan

401(k) Plan Investment Diversification

Topics: 401k plan

Internal Controls in Your 401(k) Plan During COVID-19

Topics: 401k plan

Join our LinkedIn Webinar with Kim Moore and Matt Towers

Topics: 401k plan

Key factors to look for when hiring an audit firm

Topics: 401K Audit

COVID-19: Enhancing Employee Communication

Topics: 401k plan

Webinar: Layoffs and Your 401(k): What You Need to Know

Topics: 401k plan

Pricing for a 401(k) Audit

Topics: 401K Audit

SAS 136 - Audit Report Update

Topics: 401K Audit

CARES Act – What Does it Mean for 401(k) Plan Sponsors?

Topics: 401k plan

COVID-19: Provider and Investment Questions

Topics: 401k plan

The SECURE Act/Opinion Letter Changes

Topics: 401K Audit

So, You Need an Audit – Is a Virtual Audit Possible?

Topics: 401k plan

Our Top Five 401(k) Blogs for February 2020

Topics: 401K Audit

Plan Sponsor Guide for 401(k) Plans During the Pandemic

Topics: 401k plan

What is a 401(k) Plan fiduciary?

Topics: 401k plan

Audit Sampling for Your 401(k) Plan

Topics: 401k plan

Your Guide to Form 5500

Topics: 401K Audit

Necessary Information to Complete Your 401(K) Audit

Topics: 401k plan

What companies must know before the 401(k) audit deadline

Topics: 401K Audit

Monitoring Controls for a 401(k) Plan

Topics: 401k plan

7 Unique Terms Used in the Employee Benefit Plan Industry

Topics: 401k plan

Why is an SOC Report Important to Your 401(k) Plan?

Topics: 401k plan

Our Top Five 401(k) Blogs for January 2020

Topics: 401k plan

AICPA Employee Benefit Plan Audit Quality Center

Topics: 401k plan

Distinguishing an knowledgable 401K Auditor

Topics: 401K Audit

401(k) Forfeiture Accounts Contributions

Topics: 401k plan

401(k) Plan: Full Scope or Limited Scope 401(k) Audit?

Topics: 401k plan

Failing the 401(k) Non-Discrimination Testing

Topics: 401k plan

What is the 80 – 120 rule?

Why Your 401(k) Plan Needs a Fidelity Bond

Topics: 410k plan

Step 2-After You Select a Benefit Plan Auditor

Topics: 401k plan

Conduct Your 401(k) Audit Virtually

Topics: 401k plan

Tracking Your 401(k) Plan Participants

Topics: 401k plan

Reviewing Your 401(k) Plan Non-Discrimination Testing

Topics: 401k plan

It's Time to Update Your 401(k) Plan Sponsor Contact Information

Topics: 401k plan

It's Time to Set-Up Your 401(k) Compliance Calendar

Topics: 401k plan

Our Top Five 401(k) Blogs for December 2019

Topics: 401k plan

Summit CPA Group Can Help Streamline Your 401(k) Audit

Topics: 401k plan

What is a 401(k) Plan Census?

Topics: 401k plan

Red_flag_pin_angled_9655

Red Flag Issues on Your Form 5500

Topics: 401k plan

custom_stack_of distributions_books_11960 - Copy

401(k) Plan Distributions

Topics: 401k plan

single_binder 401k year end prep_16374 (1)

Prepare for Your 401(k) Plan Year-end

Topics: 401k plan

newspaper_classified_custom_20909

New! SECURE Act Update

Topics: 401k plan

talia_holding 401k files_books_by_chalkboard_20942 (1)-1

Document Retention During a Business Transition

Topics: 401k plan

401k investment policy statement (1)

Investment Policy Statement for a 401(k) Plan

Topics: 410k plan

capital_circular_stars_9484-2

ERISA Statute of Limitations

smart_saving_8778 - Copy

New 401(k) Proposal – Public 401(k) Plans

Topics: 401k plan

discussion_mediator_anim_12868

ERISA Retirement Plan Settlements in 2019

Topics: 401k plan

magnified_people_group_16674

Who Is an Eligible Participant for Your 401(k) Plan?

Topics: 401k plan

hands_touch_tablet_vert_female_custom_16825

Hardship Withdrawals – Changes in 2019

Topics: 401K Audit

newspaper_classified_custom_20909

SECURE Act Update – November 2019

Topics: 401k plan

office_businessman_working stock Question_22296 - Copy

Investment Options in a 401(k) Plan

Topics: 401k plan

IRS Update

IRS Updates 401(k) Plan Contribution Limits for 2020

Topics: 401k plan

retirement planning tools-1

Enhancing Employee Communication Regarding Benefit Plans

Topics: 401k plan

Plan Documents talia_open_roller_banner

401(k) Plan Documents

Topics: 401k plan

smart_phone_custom_block_15337

Open Enrollment Is Almost Here

Topics: 401k plan

single_binder_16374-6

Distributing your 401(k) Plan Summary Annual Report

Topics: 401k plan

top_5_pedestal_400_clr_6489

Our Top Five 401(K) Audit Blog Posts for September 2019

Topics: 401k plan

smart_phone_message IRS updates-1

IRS Extends Form 5500 Filing Deadlines for Those in Disaster Areas

Topics: 401k plan

female_news_caster_infront_of_screen_16271 (4)-1

October 15th Form 5500 Deadline!

Topics: 401k plan

check_and_balance_-_Copy

The Internal Controls in Your 401k Plan

Topics: 401k plan

blue_streak_question_682

How Much Does a 401k Audit Cost?

Topics: 401k plan

custom_stack_of_books_11960

401k Contributions - Distributions - Reconciliation and Reporting

Topics: 401k plan

talia_limited scope

What Happens to Your 401(k) When You Change Jobs?

Topics: 410k plan

top_5_pedestal_400_clr_6489

Our Top 5 401(k) Audit Blog Posts for August 2019

Topics: 401k plan

blue_folder_11924

Required Year-end Disclosures for Your 401k Plan

Topics: 401k plan

talia_holding_books_by_chalkboard_20942

Your 401(k) Plan Document Retention Policy

Topics: 401k plan

piggy_bank forfeiture funds_custom_19466

401(k) Plan Forfeiture Accounts

Topics: 401k plan

hiring_a_quality_401k_auditor

Six Steps to Prepare Your 401(k) Plan for an Audit

Topics: 401k plan

group_business_people_party_22392

Happy National 401(k) Day!

Topics: 401k plan

folder_lock_key_8207

Documentation Security During Your 401k Audit

Topics: 401k plan

Form 5500 guidelines

Form 5500 Deadline Approaching for Calendar Year 401(k) Plans

Topics: 401k plan

401k Service provider review-business_21851

Monitoring Your 401(k) Plan Service Provider

Topics: 401k plan

limited scope audit flipboard_custom_discussion_18857 (1)

What is a Limited Scope 401(k) Audit?

Topics: 401k plan

New auditing standards 16374

New Employee Benefit Plan Auditing Standard

Topics: 401k plan

Benefits of an audit brad_open_roller_banner_22318 (1)

What Are the Benefits of a 401(k) Audit?

Topics: 401k plan

cross_device_design_custom_19029 (1)

New Open MEP Ruling by the Department of Labor

Topics: 401k plan

capital_circular_stars_9484-1

UPDATE: SECURE Act and the Retirement Savings and Security Act

Topics: 401k plan

doctor_holding_clipboard_17742 (1)

401(k) Plan Audit Sampling

Topics: 401k plan

single_binder_16374-2

What to Look for When You Get Your 401(k) Audit Report

Topics: 401k plan

gauge_needle_max_18436

Design a 401(k) Plan to Maximize Value for Employees

Topics: 401k plan

cross_device_design_custom_19029-1

Your 401(k) Audit - Internal Control Memo Comments

Topics: 401k plan

pondering_board_text_11183-2

401(k) Plan - Insurance General Account Investments

Topics: 401k plan

top_5_pedestal_400_clr_6489

Our Top Five 401(k) Audit Blog Posts for June 2019

Topics: 401k plan

man_sitting_on_laptop_18929 (1)

401(k) Plan Investments & Pooled Separate Accounts

Topics: 410k plan

401k investment

Common Collective Trusts - 401(k) Plan Investments

Topics: 401k plan

401k target funds(1)

Target Date Funds for 401(k) Plan Investments

Topics: 401k plan

financial_data_zoom_13321-2

Mutual Funds – Your 401(k) Plan Investments

Topics: 401k plan

man_sitting_on_laptop_Summary Report

Annual Summary Report for Your 401(k) Plan

Topics: 401K Audit

security_lock_stick_figure_2926-1

Safe Harbor 401(k) Plan- What is it?

Topics: 401k plan

top_5_pedestal_400_clr_6489

Our Top Five 401(k) Blog Posts for May 2019

Topics: 401k plan

magnified_people_group_16674

Locating Missing 401(k) Participants

Topics: 401k plan

office_deadline_computer_22290

Form 5500 Deadline for Calendar Year 401(k) Plans Approaching

Topics: 401k plan

flipboard_custom_discussion_18857-2

What to Do if You Missed Something in Administering a 401(k) Plan

Topics: 401k plan

flipboard_custom_discussion_18857-1

Department of Labor Voluntary Correction Programs

Topics: 401k plan

custom_folder_11924 (1)

401(k) Plan Fee Disclosure Requirements

Topics: 401k plan

tools_in_custom_pocket_15703

Does Your 401k Plan Provider Offer Effective Retirement Planning Tools?

Topics: 401k plan

viral_spread_increased 401k participants animated

How to Increase Participation in Your Company 401(k) Plan

Topics: 401k plan

Kyle Tanaka -Lisa Cecen -Kim Moore

AICPA Employee Benefit Plan Conference

Topics: 401k plan

newspaper_classified_custom_20909

SECURE ACT Update – New Legislation Impacting 401k Plans

Topics: 401k plan

Form 5500 guidelines

A Guide to the Form 5500

Topics: 401k plan

top_5_pedestal_400_clr_6489

Our Top 5 401(k) Audit Blog Posts for April 2019

Topics: 401k plan

single_binder_16374 (1)

What Information Will Be Needed To Complete Your 401(k) Audit?

Topics: 401k plan

1*0eIw4DqksYsKN3bdewhwHw-1

How Can Summit CPA Group Help Streamline Your 401(k) Audit?

Topics: 401K Audit

cross_device_design_custom_19029-1

Monitoring 401(k) Plan Controls

Topics: 401k plan

arrow_into_pie_chart_custom_16897

What is a 401(k) Partial Plan Termination?

Topics: 401k plan

single_binder_16374-1

Terms Unique to the Employee Benefit Plan Industry

Topics: 401k plan

tablet_desk_18666

What is a SOC Report and Why Is It Important to My 401(k) Plan?

Topics: 401k plan

figure_pondering_question_15396

How to Find an Expert Auditor for Your 401(k) Plan Audit

Topics: 401K Audit

home_office_computer_custom_21303 (1)

AICPA Employee Benefit Plan Audit Quality Center (EBPAQC)

Topics: 401k plan

detective_thinking_with_pipe_13947 - Copy-1

Employee Benefit Security Administration Investigations

Topics: 401k plan

piggy_bank_custom_19466-1

What are 401(k) Forfeiture Accounts?

Topics: 401k plan

DEFICIENT 401K REPORT

What Happens When I Receive an Audit Deficiency?

Topics: 401k plan

hand_hold_smart_phone BLUE_custom_16414

Failing your 401(k) plan’s non-discrimination testing

Topics: 401k plan

fidelity bonds - Copy

What is a Fidelity Bond and Why Does My 401(k) Plan Need One?

Topics: 410k plan

talia_limited scope

Is Your 401(k) Plan Eligible for a Limited Scope 401(k) Audit?

Topics: 401K Audit

401K Image

Simplifying the 401(k) Audit through Innovation

Topics: 401k plan

census single_binder_16374 (1)

401(k) Plan Census-What is it?

Topics: 401k plan

movie_theater_with_people_7629

401(k) Plan: The 80 – 120 Rule

Topics: 401k plan

scribbles_pencil_clipboard_20153 (1)

You've Selected an Auditor for Your 401(k) Plan – Now What?

Topics: 401K Audit

single_binder_16374 (1)

You Found Out Your 401(k) Plan Needs an Audit – Now What?

Topics: 401K Audit

triple_binders_16377-1

Do You Know Where All Your 401(k) Plan Participants Are?

Topics: operational compliance

woman_flat_holding_sign_21455-1

Time to Review Your 401(k) Plan Non-discrimination Testing

Topics: 401k plan

Audit

Preparing for a Department of Labor (DOL) Audit

Topics: 401K Audit

2019 updates man_working_on_tablet_18914

2019 Changes to the Hardship Withdrawal Rules for 401(k) Plans

Topics: 401k plan

Dept. of labor audit letter-1

Have You Received a DOL Notice Regarding an Audit/Review?

Topics: 401K Audit

Preparing for a census

Is it Time for Your 401(k) Plan Census?

Topics: 401k plan

seminar_from_back_pc_3442 - Copy

It’s Almost Open Enrollment Time

Topics: 401k plan

office_worker_hard_at_work_animimated1_19246

Year-End Preparation for your 401(k) Plan

Topics: 401k plan

Hardship Withdrawal

Hardship Withdrawal IRS Proposal

Topics: 410k plan

custom_contract_16045 (2)

401(k) Participant Loans

Topics: 401k plan

tablet_waving_hands_22004

IRS Updates 401(k) Plan Contribution Limits for 2019

Topics: 401k plan

triple_binders_16377

Designing a 401(k) Plan to Maximize Value for Your Employees

Topics: 401k plan

cross_device_design_custom_19029

Internal Control Comments Noted in Your 401(k) Audit

Topics: 401k plan

young_woman_white_board_16934 (3)

Audit Sampling

Topics: 410k plan

smart_phone_custom_text_block_16260-1

Executive Order Regarding Open Multiple Employer 401(k) Plans

Topics: 401k plan

increasing plan particapants

Increase Participation in Your Company 401(k) Plan

Topics: 401k plan

401k ruling

New Ruling by IRS Related to Student Loan Repayment

Topics: 401k plan

401k figure_presenting_custom_clipboards_16095

How to Avoid IRS and DOL Penalties with your 401(k) Plan

Topics: 401k plan

law_book_and_gavel_anim_12235

Recent 401(k) Plan Violations

Topics: 401K Audit

pondering_board_text_11183

401(k) Plan Investments – Insurance General Account Investments

Topics: 410k plan

Collaborate

Getting Familiar with Collaborating Remotely

Topics: Virtual CFO, distributed company, Remote work

401K Plan Common Collective Trust

401(k) Plan Investments – Common Collective Trust

Topics: 410k plan

home_office_computer_custom_21303

401(k) Plan Investments – Pooled Separate Accounts

Topics: 410k plan

calculator_piggy_bank_pc_2680

Important Money Tips for Your 50’s

Topics: Cash Flow Management

business_person_on_computer_custom_16369-1

401(k) Plan Investments – Target Date Funds

Topics: 410k plan

4 Tips for Maintaining Happy Clients as a Remote Auditor

Topics: 401K Audit, 410k plan, distributed company

prisoner_figure_behind_cell_window_bars_13549

Penalties for Fiduciary Violations

Topics: 401K Audit

police_officer_cyber_security_20195

Employee Benefit Plan Cyber Security Risks

Topics: 410k plan

401K scroll talia_open_roller_banner_21398

401(k) Plan Reference Material

Topics: 401K Audit

brad_show_tablet animated_21390

How to Select a Qualified Benefit Plan Auditor

Topics: 401K Audit

hotel_resort_8636 - Copy-514240-edited

What is a Partial Plan Termination?

Topics: 410k plan

401k Audit report

What to Look for in Your 401(k) Audit Report

Topics: 401K Audit, 410k plan

man_sitting_on_laptop_18929

DOL Voluntary Correction Programs

Topics: 410k plan

IRS animated letter to 401k administrator

Correcting an Administrative Error in Your 401(k) Plan

Topics: 410k plan

forfeiture report single_binder

401(k) Forfeiture Accounts

Topics: 410k plan

businesswoman_stand_puzzle_piece_3220

You Just Found Out Your 401(k) Plan Needs an Audit – Now What?

Topics: 401K Audit

market_trader_analyzing_7539-1

401(k) Monitoring Controls – Investments

Topics: 410k plan

thumbnail_My Caricature

April Employee Spotlight: Karen Hill

Topics: 401K Audit, 410k plan, distributed company

investment_security_safe harbor

What is a Safe Harbor 401(k) Plan?

Topics: 410k plan

bosses_hovering_over_employee--internal_controls_Copy

401(k) Plan Monitoring Controls

Topics: 410k plan

single_blue_folder_3153 - Copy-024354-edited

Fee Disclosure Requirements for 401(k) Plans

Topics: 410k plan

401k plan census

What is a 401(k) Plan Census?

Topics: 401K Audit

tablet_desk_18666

SOC Reports-Why It’s Important to Your 401(k) Plan

Topics: 401K Audit

Terminology

Benefit Plan Terminology for Administrators

Topics: 410k plan

Protect your 401k with fidelity bonds

Is a Fidelity Bond Required for a 401k Plan?

Topics: 410k plan

http://www.summitcpa.net/401k-audit-resources

Limited Scope Asset Certification

Topics: 401K Audit

businessman_posing_question_15784_-_Copy

What is a Limited Scope Audit?

Topics: 401K Audit

Speed Up the 401k Audit Process

Topics: 401K Audit

Audit review.jpg

Reviewing a 401k Audit Report

Topics: 401K Audit

full scope versus limited scope audit

Full Scope vs. Limited Scope Audit

Topics: 401K Audit