Retirement Plan Resources

The Pension Protection Act (PPA) of 2006 and subsequent developments have created opportunities for the defined contribution industry. The following are resources available for plan sponsors, and advisers:

• Preparing for 408g Audits
• Review and Analysis: DoL Investment Advice Proposal of August 21, 2008
• The Final Word on QDIA
  A summary of what the Department of Labor final regulations means to Participants, Plan Sponsors, Advisers and Providers Updated with changes in Field Assistance Bulletin FAB 2008-03.
• QDIA Suitability Worksheet
  Download this form and use for selecting appropriate QDIAs. This process provides the procedural prudence required for safe harbor fiduciary relief.
• Request for Confidential Fiduciary Risk Assessment Worksheet
  Confidential risk assessment worksheet is available for ERISA plans. Contains interactive questionnaire for self-assessment or may be submitted for formal analysis and report.
• Fiduciary Risk Assessment Guidelines & Sample Worksheet
  Describes the process and provides an example of how fiduciary risk may be assessed for ERISA plans. Includes proposed fee disclosure requirements.
• Adviser Fee Disclosure Sample
  Sample presentation of adviser compensation required for Form 5500 and proposed point of sale disclosure. This shows hourly rates and benchmarks.
• FAN - Fiduciary Adviser Network Overview
  Description of FAN program for advisers to meet requirements to advise participants and qualify for Fiduciary Adviser safe harbor fiduciary relief.
• Plan Sponsor Resources
• Fiduciary Adviser Resources

In the United States
DALBAR, Inc.
Federal Reserve Plaza
600 Atlantic Avenue
Boston, MA 02210

617.723.6400
617.624.7200 (Fax)

Inquiries: info@DALBAR.com
Press: press@DALBAR.com
Web site: webmaster@DALBAR.com

In Canada - www.dalbar.ca

DALBAR, Inc.
Cosmopolitan Centre
111 Gordon Baker Rd., Suite 400
Toronto, ON
M2H 3R1

416.777.1103
416.777.1466 (Fax)

DALBAR Europe