Broker Check

Fiduciary kit

  • Fiduciary Guide – provides an overview of the fiduciary responsibilities imposed by ERISA
  • Sample Investment Policy Statement
  • Sample Benefit Committee Meeting Minutes and Board of Directors Resolutions
  • 404(c) Checklist to help ensure your plan is in compliance with ERISA section 404(c)
  • Plan Administration Checklist to help keep track of key events and deadlines during the plan year, such as reporting obligations and compliance testing

LPL Financial is not affiliated with UBS.