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401(k) Compliance Check Questionnaire Final Report - Next Steps and Web Resources

We’ll use the Questionnaire’s findings to:

  • enhance our 401(k) plan administration compliance tools,
  • produce outreach materials,
  • improve voluntary compliance programs,
  • assess the need for additional guidance, and
  • define upcoming projects and enforcement activities.

401(k) plan sponsors can use the Questionnaire, along with these findings, to strengthen internal controls over plan operations.

Web Resources

401(k) Plans
401(k) Plan Overview
Pre-approved plans
Operating a 401(k) plan
Catch-up Contributions
Designated Roth Accounts
401(k) Plan Contribution Limits
Who can participate in a qualified plan?
Top Heavy Errors in DC Plans
Determination Letters
Correcting Plan Errors
Fix-It Guides
Comments from Monika Templeman, Director of EP Examinations
Interim Report (PDF – 65 pages)

Page Last Reviewed or Updated: 11-Feb-2014