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Fiduciary Oversight
The individuals given the primary responsibility for managing the operational aspects of a plan and the investment of retirement funds are called fiduciaries.  They are required to act in the best interest of their plan and its participants and they are held to exceptionally high standards.  Failure to comply with these standards can result in significant personal liability and penalties - for both the fiduciaries and the company that sponsored the plan.  Human resources and financial executives often have multiple job functions that can hinder their ability to dedicate sufficient time to fulfilling their roles as fiduciaries.

Prior to plan implementation, we work with your retirement plan/investment committee to clarify their roles and responsibilities of the plan sponsor and the service providers including administrators, investment managers, record-keepers, and custodians.

We chart participation, deferral rates, and plan performance, including a benchmarking of total plan costs, with the goal of minimizing your plan expenses and maximizing the scope and quality of plan provider services you receive.  We also perform ongoing reviews to help establish fiduciary "best practices" so that you have the most positive experience possible with all aspects of your retirement plan.
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 IMPORTANT DISCLOSURES

Broadridge Investor Communication Solutions, Inc. does not provide investment, tax, or legal advice. The information presented here is not specific to any individual's personal circumstances.

To the extent that this material concerns tax matters, it is not intended or written to be used, and cannot be used, by a taxpayer for the purpose of avoiding penalties that may be imposed by law. Each taxpayer should seek independent advice from a tax professional based on his or her individual circumstances.

These materials are provided for general information and educational purposes based upon publicly available information from sources believed to be reliable—we cannot assure the accuracy or completeness of these materials. The information in these materials may change at any time and without notice.
 


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