The 401(k) Compliance Solution™ is designed to protect you, your company, and your employees by helping make your 401(k) plan and investments compliant with all laws and regulations. The program helps you evaluate your current retirement plan, save money, legally protect yourself and your company, and protect and grow your business.

The 401(k) Compliance Solution™ was created because many Plan Trustees are not fully compliant with all 401(k) laws and regulations. For example, 401(k) plans may not be providing investment diversification as required by law. They may not have an investment policy statement or the plan may not be communicated properly to employees. There may be no coordination among the providers managing the various areas of the plan, such as communication, record-keeping, administration, and investments. Fees may be excessive and not properly disclosed. The plan may be run inefficiently.

All of these oversights, omissions and errors can spell disaster for a company and its plan trustees. The plan could lose significant money and the company could face serious legal consequences that could undermine the future success – even the existence – of the company. The 401(k) Compliance Solution™ was created to help make sure that your retirement plan and investments are compliant with all laws and regulations.

By working through this step-by-step process, you will feel more confident that you’ve done everything possible to protect your company, and maximize the potential of your retirement plan for your employee’s benefit.

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All information herein has been prepared solely for informational purposes, and it is not an offer to buy or sell, or a solicitation of an offer to buy or sell any security or instrument or to participate in any particular trading strategy.

*Securities and advisory services offered through Commonwealth Financial Network®, /, a Registered Investment Adviser. Fixed insurance products and services offered through Paris International are separate and unrelated to Commonwealth. This communication is strictly intended for individuals residing in the states of AL, AK, AZ, AR, CA, CO, CT, DE, DC, FL, GA, HI, ID, IL, IN, IA, KS, KY, LA, ME, MD, MA, MI, MN, MS, MO, MT, NE, NV, NH, NJ, NM, NY, NC, ND, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, VA, WA, WV, WI, WY. No offers may be made or accepted from any resident outside these states due to various state requirements and registration requirements regarding investment products and services.

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