New Plan Set Up Requirements
- Plan Design: New Client Document Form
- New Client Questionnaire
- Signed Fee Schedule
- List of all related companies
- Completed census of all employees in the MMR Excel format
MMR Takeover Requirements
- Current Plan Documents (Signed Adoption Agreements, Amendments, Safe Harbor Notice, Basic Plan Document, IRS Opinion Letter & Summary Plan Description)
- Current Annual Reports (Valuation – includes full census information, All Compliance Testing & 5500)
- Detailed investment reports from prior provider until the date of transfer.
- Current Loan Policy and Loan Amortizations.
- Complete list of all related companies and ownership.
- Copy of both Employer & Employee Fee Disclosure Notices.
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