Limited Period Access to myCPE Prime Unlimited CPE Access starting at $199. Subscribe Now

Retirement Plan Governance Best Practices: Essential Documents

  • Accountant
  • CRMA
  • CFE
  • CGAP
  • CGFM
  • CIA
  • CMA
  • CPA (US)
  • CVA
  • HRCI
  • IAP
  • QIAL
  • SHRM

Published: August, 2022

You need to register for the webinar to watch the video.

Click Here to Register

Before starting this self study program, please go through the instructional document.

  • Course Description
  • Course Qualification
  • Presenter
  • FAQ

Course Description


  • Fiduciary file - The basics
    5 mins
  • Fiduciary file - Financial
    15 mins
  • Fiduciary file - Oversight
    22 mins
  • Fiduciary file - Operational
    43 mins
  • Best practices
    46 mins

Course Description

With increased oversight of retirement plans—and continually changing regulations—you want to be confident that you’re in control of your plan’s compliance. Whether working on your own, or with the assistance of a plan consultant, maintaining documentation and processes for plan governance can help prepare you in case of a plan audit or compliance check. It’s also a great way to increase the efficiency of your plan while improving the experience of your participants.

Retirement plans are designed to be long-term programs for participants to accumulate and receive benefits at retirement. As a result, plan records may cover many years of transactions. The Internal Revenue Service (IRS), as well as the Employee Retirement Income Security Act (ERISA), require plan sponsors to keep records of these transactions because they may become material in administering pension law.

Considering that the Department of Labor (DOL), IRS, participant, or participant’s legal counsel could come calling at any time, you’ll want to be ready to show your ERISA required documented prudent process

By focusing on plan governance, plan sponsors can implement a prudent process for carrying out their fiduciary responsibility, and improve the quality of the retirement plan they offer employees.

In this online continuing education course, participants will learn about the essential documents of plan governance, how and when to update these documents, and how to implement best practices with document review and retention.

This online CPE/ CE course provides a more detailed review of the essential documents for retirement plans and how to ensure they are properly maintained. Participants will learn:

In this Retirement plan governance best practices CPE/CE webinar following key topics are covered:

  • What is a fiduciary file?
  • Financial documents of fiduciary file
  • Operational documents of fiduciary file
  • How fiduciary file can be used for ease of access, review and retention
  • At what intervals should the documents be reviewed?
  • Detailed Instructions about form 5500
  • Exclusive 12-point Plan Governance Process

Click here for webinar on Latest Tax Updates

Learning Objectives

  • To list the essential documents of retirement plan administration.
  • To know how and when to update essential documents.
  • To discuss strategies for implementing best practices.

Recommended For

  • This IRS approved online CE course is recommended for CPAs, EAs, AFSP and Other Tax Professionals who want to provide guidance to their business clients about best practices for retirement plan governance.
  • This online CPE webinar is also recommended for business and firm owners, CFOs, CEOs, Top Management Professionals in Industry.

Who Should Attend?

  • Bookkeepers & Accountants & Tax Preparers
  • California Registered Tax Professional
  • Certified Public Accountant (CPA)
  • CPA (Industry)
  • CPA - Mid Size Firm
  • CPA - Small Firm
  • Enrolled Agent
  • Maryland Tax Preparers
  • Oregon Tax Preparers
  • Tax Accountant (Industry)
  • Tax Attorney
  • Tax Director (Industry)
  • Tax Firm
  • Tax Managers
  • Tax Practitioners
  • Tax Preparer
  • Tax Professionals
  • Tax Pros
  • Trust & Estate Tax Professional
  • Young CPA

Course Qualification

Webinar Qualifies For

  • 1 General Credit of Auditing for Accountant/Bookkeeper/Tax Professionals
  • 1 CPE Credit of Auditing for Certified Public Accountants (CPA-US)
  • 1 CPE Credit of Internal Auditing for Certified Internal Auditors (CIA)
  • 1 CPE Credit of Auditing for Certified Management Accountants (CMA)
  • 1 CPE Credit of Auditing for Internal Audit Practitioner (IAP)
  • 1 CPE Credit of Auditing for Qualification in Internal Audit Leadership (QIAL)
  • 1 CPE Credit of Auditing for Certification in Risk Management Assurance (CRMA)
  • 1 CPD Credit of Auditing for Certified Financial Forensics (CFF)
  • 1 CPE Credit of Auditing for Certified Fraud Examiner (CFE)
  • 1 CPE Credit of Auditing for Certified Government Auditing Professional (CGAP)
  • 1 CPE Credit of Auditing for Certified Government Financial Manager (CGFM)
  • 1 CPE Credit of Auditing for Certified Valuation Analyst (CVA)
  • 1 CPE Credit of Auditing for Certified Business Appraiser/Master Certified Business Appraiser (CBA/MCBA)
  • 1 RCH Credit of HR (General) for Human Resource Certification Institute (HRCI) (Approval No. 603869)
  • 1 PDC Credit of Critical Evaluation for SHRM Professionals (Approval No. 22-FHA6Y)

Additional details

  • Course Level :
  • Credits :
  • Instructional Method :
    QAS Self Study
  • Pre-requisites :
  • Advance Preparation :


MY-CPE LLC, 1600 Highway 6 south, suite 250, sugar land, TX, 77478

MY-CPE LLC (Sponsor Id#: 143597) is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:


About Presenter

Kathleen Dulko, CPA (US), CPFA

President, Ashford Investment Advisors

Kathleen Dulko started her financial services career as a CPA focusing on retirement plan, health care, and government audits. In 2010, she earned the position of Corporate Controller for a tax-supported healthcare system, where she was a member of the Retirement Plan and Investment Committees, overseeing more than $1 billion in assets. Ms. Dulko joined Ashford Investment Advisors in 2017 where she serves as a 3(38) Investment Manager to her retirement plan clients. Connect on LinkedIn for regular updates on Plan Governance!

About Company

Ashford Investment Advisors

Ashford Investment Advisors is a Registered Investment Advisor (RIA) based in Daytona Beach, Florida. We are proud to offer our services as a 3(38) Investment Manager. Our unique service model combines the plan governance components of a named fiduciary with the risk transfer benefit of a 3(38) Investment Manager. Visit our website at to sign up for our monthly newsletter and learn more about PlanAssure, our exclusive 12-point plan governance process.


FAQs content

  • To receive Continuing Education credit for the event, you must register for the webcast prior to the start of each program.
  • Continuing Education Credit Certificate is available to all eligible participants within 24 hours of each webinar.
  • You must attend complete live webinar and respond to all polling questions asked during the webinar. Credits would be issued on 50 minute credit hour basis.
  • Polling feature Not supported: If you are logging in through browser or web portal in the browser ( it doesn’t support the polling feature. Please be advised the current polling feature can only be supported via Zoom desktop and mobile app. You can check the same here :
  • This event may be a recorded rebroadcast of a live event done in past and the instructor will be available to answer your questions during/after the webinar.
  • If you still face the polling problem please don’t panic and provide your response in the chat and we shall consider the same for processing for credits. You can download Zoom by clicking on the mentioned link :
  • Our courses meet the global Continuing Professional Development (CPD-IES7) Standard for Chartered Accountants with International Education Standard 7 (IES 7) set by The International Federation of Accountants (IFAC), the International Accounting Education Standards Board (IAESB) and the Association of Chartered Certified Accountants (ACCA). Based on our accreditation by existing IFAC members and affiliates, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • You can manage your continuing education certificates and credits through your certificate dashboard which is available when you are logged in to your account (LOGIN)
  • As an accredited provider of Continuing Professional Education in the United States, myCPE online learning platform, courses, and webinars meet the requirements set forth by the Institute of Management Accountants (IMA), an IFAC Member Organization, as well as the National State Boards of Accountancy (NASBA) and the Institute of Internal Auditors (IIA), both IFAC Affiliates. As well as it has been approved by NASBA, Internal Revenue Service (IRS), Certified Financial Planner Board (CFP Board), California Tax Education Council (CTEC), Society of Human Resource Professional (SHRM), Human Resource Certification Institute (HRCI) and many more.Therefore, we believe learners can count their professionally relevant, verifiable learning activities on myCPE, including taking on demand courses and attending live webinars, toward fulfillment of their verifiable continuing education requirement as CPD-IES7 requirements. However, if there is any question, we recommend that the individual learner confirm with his/her professional licensing organization before taking myCPE courses for CPD-IES7 credit.
  • myCPE Courses are taken by : CPA | CMA | CFE | CIA | CPA(Yellow Book)| CFP | CFA | CPA (Govt.) | EA | CRTP | MRTP | ORTP | ABV | CITP | CVA | PFS | CFF and others.

Ratings and Review


5 Ratings



Very Good









Jael Henckelbeaudette, PHR, SHRM - CP

Sep 20th, 2022

Charts were all summaries. Would have liked more details - for instance when going over the oversight committee's responsibilities or when she was explaining the two types or investment advisors.

We use cookies to make your experience on this website better