Qualified Retirement Plan Audit


  • Meets Department of Labor and Internal Revenue Service regulatory requirements under ERISA
  • Provides assurance that the retirement plan is handling employee contributions, enrollments, distributions and loans in compliance with plan guidelines and employees’ instructions

Who’s most likely to benefit:

  • Organizations whose retirement plan has 120 or more eligible participants


An AGH audit team samples and tests various transactions within the retirement plan’s year, including comparing requested versus actual participant elections, loans outstanding, plan distributions, and appropriate exclusion from the plan. AGH’s audit report is issued to be included as part of the organization’s Form 5500 Filing with the Department of Labor.

Useful Resources for You

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DOL Audits to Increase?

Targeting employee benefit plans

The Department of Labor appears to be sending plan sponsors two parallel messages based on its hiring trends and a 2015 DOL study of employee benefit plan audit quality.
Click to read the full alert.

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Timely Deposits Scrutinized

More aggressive DOL enforcement

DOL is cracking down on employers who are late depositing employee earmarked funds withheld from their paychecks into their retirement plan.
Click to read the full alert.