Fiduciary Audit Package


Investment stewards wear many professional hats. And while they may spend the least amount of their working life on retirement plan issues, their fiduciary role possesses a significant amount of personal risk in the corporate arena. Inundated with primary job functions, finance and human resources executives lament their lack of time and tools to fulfill their fiduciary accountabilities, with a high level of assurance and protection. This uncertainty is the main cause of their concern towards their personal liability as a fiduciary.

To meet this void, Plybon & Associates, Inc. offers a fiduciary oversight program that helps deliver protection and excellence in plan management through independent governance and monitoring. Plybon & Associates, Inc. offers the fiduciary oversight program to its member advisors’ plan sponsor clients.

Under this program, our clients satisfy the following fiduciary functions:

  1. Demonstrate prudence through a document trail;
  2. Understand the key factors around investment management decision making;
  3. Adhere to the plan document and the committees’ investment strategies;
  4. Avoid conflicts of interest;
  5. Monitor service providers according to the new global benchmarks of fiduciary excellence.

Why plan sponsors use our fiduciary oversight program:



Fiduciary functions are managed effectively through a written co-fiduciary arrangement. The goal of our program is to help you save time, reduce personal risk, and gain access to critical fiduciary tools.



Managed within a protected fiduciary document solution, investment committees can demonstrate ERISA’s prudence requirements through a trail of informed decisions. With a point and click, fiduciaries can evidence their investment rationale and map key decisions to the plan’s guiding documents.



We ensure a high level of continuity in the event of investment committee turnover. Our fiduciary oversight program helps to preserve the integrity of past decisions and provide effective succession for future fiduciary governance.



We help investment committees align internal responsibilities and benchmark the services of operational platform providers such as administrators, record keepers, custodians, and investment managers.