Advisory Committee on Tax Exempt and Government Entities (ACT ...

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PROTECTING PLAN BENEFITS:IMPROVING GOVERNMENTAL DEFINED CONTRIBUTION PLAN COMPLIANCE• an accounting firm• an actuarial or retirement plan administration firm• a financial services provider• a consulting firm• A third party administrator• Other (specify):2. Does your firm offer a “401(a) specimen” Defined Contribution Plan?• Yes• No3. If the answer to Item 3 is yes, what type of 401(a) Defined Contribution Plandoes your firm offer?• Money Purchase Pension• Profit-Sharing• Both• Other (Specify):4. If the answer to Item 3 is yes does your firm (answer all that apply):• Update the specimen document based on legislative changes• Inform the employers that they are responsible for future amendments/compliance • Notify employers when a legislative change is made that they must updatedocument, forms, etc.5. Do your clients often utilize “Pre-approved Plans” (Prototype Plans) to adopt agovernmental 401(a) plan?• Yes• No6. Do your clients often utilize “Pre-approved Plans” (Prototype Plans) and:ADVISORY COMMITTEE ON TAX EXEMPT AND GOVERNMENT ENTITIES (ACT) June 11, 2008 30
PROTECTING PLAN BENEFITS:IMPROVING GOVERNMENTAL DEFINED CONTRIBUTION PLAN COMPLIANCE• Eliminate provisions that do not apply to governmental entities• Leave the document intact and ignore provisions that do not apply to governmental entities • Other (Specify):7. What recommendations would you make to improve document compliance foradopters of Governmental 401(a) Plans? (OK to enter as much text as desired)8. What recommendations would you make to improve operational compliancefor adopters of Governmental 401(a) Plans? (OK to enter as much text asdesired)As members of the ACT, we greatly appreciate your assistance with respect to thisproject.Susan D. Diehl 215-444-9812Julian Regan 508-787-6163ADVISORY COMMITTEE ON TAX EXEMPT AND GOVERNMENT ENTITIES (ACT) June 11, 2008 31
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MEMBER BIOGRAPHIESGOVERNMENT ENTITI
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GENERAL REPORTOF THEADVISORY COMMIT
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