DEMO SITE
AUDIT FILE DOCUMENTS

RISK MANAGEMENT BINDER

Table of Contents and Header Pages
 
Binder Intro
 
Binder Spine
 
Binder Covers
 
Sample Index Tabs Page
 

FIDUCIARY FORMALIZATION

Quarterly Agenda
   
Internal Fiduciary Worksheet
   
Recommended Reading Form
   
Fiduciary Appointment & Acknowledgement (IC MEMBER)
   
Fiduciary Appointment & Acknowledgement (OTHER)
   
Sample Fiduciary Resignation Letter
   
Bylaws
   
Code of Ethics
   
Conflict of Interest Policy
   
Sample Meeting Minutes
    
Trustee Appointment & Acknowledgement
    
Fiduciary Audit File Checklist
 
Document Pack Cover
 
     
Prudent Practices Handbook (can order published copies from www.fi360.com)
  

SERVICE PROVIDER DUE DILIGENCE

Quarterly Agenda
   
Service Agreement Review Checklist
 
Provider Fee Worksheet
  
Provider Agreement Checklist
  
Master Expense Spreadsheet
  
Email Requesting Info for Meeting
  
Document Pack Cover
 
     
Advisory Agreement
  
Participant Agreement
  

INVESTMENT DUE DILIGENCE

Quarterly Agenda
 
Investment Policy Statement
 
IPS Review Checklist
 
Call to Action Checklist
  
ACTION ITEMS
 
Document Pack Cover
 

PARTICIPANT COMMUNICATIONS

Quarterly Agenda
  
Section 404(c) Checklist
  
404(c) Notice Language
 
Custom Participant Education Program Checklist
 
Fiduciary Adviser Agreement
  
Advisor Agreement Adendum for Advice
 
Participant Disclosure Form
 
Employee Report Card
  
Participant Education Program Calendar
 
Document Pack Cover
 



ADMINISTRATIVE DOCUMENTS

Employer Report Card
  
Administrative Planning Calendar
 
 

EXPLAINING THE PROCESS

Visual Shore in Four - Implementing the Process for Existing Clients
 
Visual Process Overview for New Plans
 
NEW Circle Graphic of Steps that Make up the Process
  
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