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2009 Universal Sample Selections Template ERISA Transaction Document Requests

2009 Universal Sample Selections Template ERISA Transaction Document Requests-2025

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The document outlines the standard procedures and requirements for selecting samples during an ERISA audit, specifically detailing the sample sizes for various categories such as rollover contributions, distributions, enrollments, loans, and investment allocations. It specifies that TIAA-CREF will provide supporting documentation based on a sample size of either 25 participants or 10% of the population, whichever is less, and emphasizes that no supporting documentation is required in any of the listed categories.

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What is an ERISA plan?

The Employee Retirement Income Security Act of 1974 (ERISA) is a federal law that sets minimum standards for most voluntarily established retirement and health plans in private industry to provide protection for individuals in these plans.

Who is considered a party in interest?

Parties that are prohibited from doing business with the plan are also called parties-in-interest. They include the employer, the union, plan fiduciaries, service providers, and statutorily defined owners, officers, and relatives of parties-in-interest.

What is the penalty for a prohibited transaction under ERISA?

What is the Civil Penalty Under ERISA Section 502(i)? Section 502(i) of ERISA authorizes the Secretary of Labor to impose upon a party in interest a civil penalty of 5 percent of the amount involved in connection with a prohibited transaction with a health and welfare plan or a non-qualified pension plan.

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What is Section 3 37 ERISA?

3(37) defines a multiemployer plan as a plan(i)to which more than one employer is required to contribute, (ii)which is maintained pursuant to one or more collective bargaining agreements between one or more employee organizations and more than one employer, and (iii)which satisfies such other requirements as the

What is section 3 of ERISA?

The term employee benefit plan is defined in section 3(3) of Title I of ERISA to include an employee welfare benefit plan or an employee pension benefit plan or a plan which is both an employee welfare benefit plan and an employee pension benefit plan. Section 3(1) of ERISA defines employee welfare benefit plan

What is Section 3 14 of ERISA?

Section 3(14) of ERISA defines a party in interest to include, among others, fiduciaries or employees of the plan, any person who provides services to the plan, an employer whose employees are covered by the plan, an employee organization whose members are covered by the plan, a person who owns 50 percent or more of

What is considered a prohibited transaction in a 401k plan?

Some prohibited transactions include: A sale, exchange, or lease between the plan and party-in-interest; Lending money or other extension of credit between the plan and party-in-interest; and. Furnishing goods, services, or facilities between the plan and party-in-interest.

How to identify an ERISA plan?

However, ERISA plans are required to file a Form 5500 each year and such filings are publicly available. The filing of such forms is a good indication that a plan is governed by ERISA; however, it is not determinative and further investigation may be necessary.

2009 Universal Sample Selections Template ERISA Transaction Document Requests-2025

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