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Compliance

Investment Management

  • Investment Universe Monitoring
  • Investment Policy Statement Monitoring
  • Manager Due Diligence Calls
  • Benchmark Selection and Review
  • CIT Expense Ratio Review vs. Peer Group

Investor Compliance

  • Participation Agreement Tracking
  • KYC/AML – Fincen/OFAC check
  • 404(a)5 – Participant Fee Disclosure
  • 408(b)2- Plan Sponsor Disclosure
  • IRS Determination Letter