top of page

Although this is not a complete  list of the items you may need if audited, having these items handy will be quite helpful. Please consult your ERISA attorney if you are ever audited.

Copies of current year and past years' plan documents and contracts.

Also include Form 5500's and other annual disclosures.

Copies of fiduciary liability insurance and fidelity bond.


Payroll records for current year and past years' showing employee and employer contributions. Include 401(k) Plan statements confirming receipt of contributions.


Schedule of all investments and plan assets for current and past year.


Copies of minutes of plan trustee/plan committee meetings.

Include client education meetings. 

Cornerstone Wealth Advisors, Inc. helps clients create and maintain a 401(k) compliance folder.

H O W   T O   P R E P A R E   F O R   A   D O L   A U D I T

d o l   d o c u m e n t   c h e c k l i s t

bottom of page