Complying with Plan Audits, Plan and Regulatory Requirements

Complying with Plan Audits, Plan and Regulatory Requirements

| May 11, 2023

Learning Objectives

  • Be able to anticipate and articulate documentation needs required
  • Gain a familiarity with the content, purpose, timing and requirements regarding ERISA notices and disclosures and different delivery options
  • Understand the purpose and know the application of the nondiscrimination tests required of ERISA-qualified plans
  • Know the impact of noncompliance with the various plan and regulatory limits, which one(s) can be corrected, and the means of remedying the noncompliance

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At Printers 401k®, we believe with the right plan design, we can create successful retirement outcomes for your business and employees.

We are happy to help, if you have any questions or would like additional insight, please feel free to reach out to me at or 800.307.0376.

Disclosure: This material was created for educational and informational purposes only and is not intended as ERISA, tax, legal or investment advice. Investment Advice and 3(38) Investment Fiduciary services offered through Diversified Financial Advisors, LLC, a Registered Investment Advisor. 3(16) Administrative Fiduciary Services provided by PISTL Service Corporation. Discretionary Trustee services provided by Printing Industries 401k Trustees. If you are seeking investment advice specific to your needs, such advice services must be obtained on your own separate from this educational material. 

This material is for educational purposes only. It cannot be used for the purposes of avoiding penalties and taxes. Readers should consult with their tax advisor or attorney regarding their specific situation. The information provided has been obtained from sources believed to be reliable, but accuracy and completeness cannot be guaranteed

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