Compliance Reviews

Coming up short on an IRS audit can cost you. An on-site Compliance Review by one of our ERISA consultants is an easy way to provide you with valuable peace of mind.

Don’t Take a Risk

We will review your retirement and savings plan documents, and compliance and operational procedures so you can feel confident should you ever face an IRS audit.

Do you know how new legislation and IRS guidance affects your operations, forms, and documents? We do. A review by one of our expert consultants is a quick way for you to make sure that your operations and documents are current and compliant.

A Compliance Review includes an expert consultant on-site for 2+ days; a review of your current procedures; an examination of your IRA documents, amendments, and owner files; interviews with staff to determine their understanding of IRA rules, policies, and procedures; and a customized report containing findings, recommendations, and analysis of your risk for IRS penalties.

Is Your Organization Ready for an IRS Audit?

  • When did you last review your plan files?
  • Have you completed all the required amendments resulting from new legislation?
  • How knowledgeable is your staff on regulatory changes?

Compliance Reviews

A Compliance Review by one of our expert consultants can help you avoid costly IRS penalties and preserve the tax-deferred status of your clients’ accounts.

Similar to an IRS audit—but without the penalties—you’ll learn where you’re at risk, and if there are more effective ways to gather, process, and retain information. Let us help you find peace of mind and ensure you’re ready for an IRS audit.

We do Compliance Reviews for Traditional and Roth IRAs, SEP plans, SIMPLE IRA plans, HSAs, and employer-sponsored retirement plans.

Compliance and Technical Document Reviews

Do you know how new legislation and IRS guidance affects your forms and documents?

A Compliance & Technical Document Review by one of our expert consultants is a quick way for you to make sure that your retirement and savings plan documents are current and compliant.

Our knowledgeable consults can review your document language and modify your Ascensus forms and documents to tailor them to your operations, systems, distribution channels, and investment products.

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