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Master and Prototype Plan Document Providers - Responsibilities and Tips - Tip #2

2. Track communications with adopting employers


Potential Concerns

Track communications with adopting employers

  • Adopting employer says they never received the interim or discretionary amendments
  • Amendments are in binder but not signed or dated
  • Plan operational practice does not match adoption agreement or trust

Track and retain copies of all correspondence you send to adopting employers as evidence of your efforts to keep the employer aware of current law changes and necessary actions the employer must take, such as adhering to deadlines.

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Page Last Reviewed or Updated: 09-Jan-2017