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Information
Checklist for Existing Plans
If you are a NEW PENSION
/ PROFIT-SHARING PLAN - please fill out the Information Checklist and
Employee Census Form. This page is only for companies who have existing
plans. Thank you.
With
the recent changes in pension legislation, a plan history must be
maintained to calculate benefits, contributions and corporate deductions.
In order to service your plan properly, we require copies of the
following:
1.
Executed plan and trust documents, including all amendments.2. Form 5300/5301 filed with the Internal Revenue Service.3. Most recent Internal Revenue Service favorable determination letter.4. Summary Plan Description, if applicable.5. Form 5500-C/R, with attachments, for the last three years. Include
Schedule A, Schedule B, Schedule P and Schedule SSA.6. Actuaril valuation for the last three years. For
Defined Benefit Plans, include accured benefits and contribution
calculations. For Defined Contribution Plans, include account balances
for each participant.7. Provide a list of all retired participants currently receiving
benefits or due benefits. Include dates of birth, dates of hire,
dates of termination or retirement, amount and frequency of payments,
and form of payment.8. If the plan provides insurance, for each policy in force under
the plan, please provide the name of the insured, insurance company,
policy number, face amount, premium and frequency, type of policy,
status, and cash surrender value at normal retirement age.9. A list of all employees for each of the past five years as well
as the current year. Include Social Security Numbers, dates of birth,
dates of hire, compensation for plan purposes, and hours of service
worked.10. A list of all distributions to former plan participants in the
past five years.11. Statement of the assets of the trust as of the end of the plan
year for each of the last three years. A schedule of receipts and
disbursement of the trust for each of the last three years and the
accountant's certified statement, if available.12. A list of stockholders and officers of the company, including
any chnages in the past five years.