Managing a 401(k) plan is a complex undertaking.

The fiduciary toolkit, developed with ERISA attorney Marcia Wagner, describes the rules and regulations for the investment related fiduciary responsibilities a plan sponsor faces. Both non-fiduciary and fiduciary advisors can provide valuable assistance on behalf of a plan — and leverage their knowledge to better serve clients and be more effective in winning new DC business.

With the fiduciary toolkit you get:

  • In-depth education about the roles, responsibilities and reporting requirements
  • Resources to help plan sponsors understand all the required duties
  • Seminars that summarize the key concepts of each topic

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Core Toolkit

What every plan sponsor needs to know.

Fiduciary Diligence Did you know?
It would be a prohibited transaction for a plan sponsor to accept any type of special compensation from an investment provider.
Investment Menu Did you know?
A Qualified Change in Investment Options, relieves the plan sponsor from responsibility for participants’ investment allocation decisions.
Plan Fees Did you know?
A Fee Policy Statement can help the plan sponsor follow a prudent review process designed to ensure plan fees are reasonable.
Fiduciary Status Did you know?
Registered representatives earning variable compensation may not act in a fiduciary capacity under ERISA.

Contact your BlackRock DC representative to learn more.

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BlackRock cannot be held responsible for any direct or incidental loss resulting from applying any of the information provided on this site or from any other sources mentioned. BlackRock is not engaged in rendering any legal, tax or accounting advice. Please consult with qualified professionals for advice in these areas.

The Wagner Law Group has prepared this guide. BlackRock does not represent that this information is accurate and complete and it should not be relied upon as such. The guide is intended for financial advisors who provide investment-related services to 401(k) plans and other defined contribution plans subject to the fiduciary requirements of the Employee Retirement Income Security Act of 1974, as amended (ERISA). This guide is intended for general informational purposes only, and it does not constitute legal, tax or investment advice on the part of The Wagner Law Group or BlackRock. BlackRock is not affiliated with The Wagner Law Group.

The opinions expressed may change as subsequent conditions vary. The information and opinions contained in this material are derived from proprietary and non-proprietary sources deemed by BlackRock, Inc. and/or its subsidiaries (together, “BlackRock”) to be reliable. No representation is made that this information is accurate or complete. There is no guarantee that any forecasts made will come to pass.

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Investing involves risk, including possible loss of principal. Asset allocation models and diversification do not promise any level of performance or guarantee against loss of principal. Investment in the funds is subject to the risks of the underlying funds. The principal value of the funds is not guaranteed at any time, including at and after the target date.

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