Raffa Services
Raffa Services
Raffa Services

Professional Services employee benefit plans

Audit and Form 5500 Preparation Fees Survey

For an estimate of our fees to perfom the audit of your plan and preparation of the annual Form 5500, please complete the survey. We will reply to you within two days to discuss your plan's audit and tax filing needs and estimated fees.

Plan Sponsor:  

Name of Plan:  

Type of Plan:  
    

Date Plan Started:  

Reporting Year-End: (e.g. 12/31; 6/30)  

Eligible Participants:  

Assets:  

Service Providers:
Administrator:   
Trustee:   
Custodian:   
Advisor:   


Investment Platform:








Does the plan have:
  1. A written plan document?
  2. An IRS Determination Letter?
  3. A written description of all available investment options?
  4. A policy statement with guidelines for selecting; monitoring and evaluating investment options?
  5. An investment committee that meets regularly to review investment performance and plan expenses?
  6. A process to provide employees education about the plan and their options?
  7. A process to oversee and coordinate compliance with IRS plan limitations with your service providers such as loan and distribution rules?
  8. Does the plan provide for participant loans?
  9. A Fidelity Bond?
  10. A Fiduciary Liability Insurance Policy?
  11. Has the plan had any nonexempt prohibited transactions such as delinquent contributions to the plan?
  12. Has the plan been investigated by the Department of Labor?
  13. Is your plan currently audited?
    If so, who are your current auditors?  
  14. Is the audit:
  15. What time of year is the plan audited?

*If you have more than 100 eligible participants for ERISA purposes at the beginning of the plan year, your plan could be subject to audit. Eligible participants include all employees eligible to participate (NOT just employees participating in the Plan, but all employees eligible to participate in the Plan), and former employees/beneficiaries with balances remaining in the Plan.

The contact fields below are required. Please include a valid email address and phone number.

First Name:   Last Name:  
Organization:   Title:  
Phone:   Email: