403(b) Information Center |
Complying With the 403(b) Regulations
No matter how you administer your plan—whether in-house or with assistance from your investment providers or a TPA—it's important to periodically review your plan. This is one of the best ways to ensure that your plan stays in compliance with all pertinent regulations. Compliance problems are easier and cheaper to fix when they're small and caught early. Use this information to help you perform periodic reviews and address any problems.
Compliance Checklist – Check these key compliance areas to make sure your plan conforms to the 403(b) regulations.
Common Potential Violations – Watch for these common plan violations.
What to Do If You Uncover Plan Violations – Find out how to correct plan violations.
What To Do If Your Plan Is Audited – Implement an ongoing compliance procedure.
