Below is a visualization of our team's 3-week workstream process.
A large number of documents are required to conduct a 401(k) Audit. We will request some information from the employer and some from the recordkeeper and/or custodian. We use a tool called “Smartsheet” to request and receive the documents securely. To the right are listed some of the items usually requested.
Note: We provide an email facility to submit the information securely to us.