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Request for plan docs


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How do you react/respond to a client's request for their current plan docs (AA, BPD, SPD, etc)?

I find in way too many cases, soon after I supply the requested material, I get a letter saying the client thanks us for our service, but they are making a change.

Why should I facilitate that?

I know that's not the case will everyone who requests them, but I also want to shout into the phone:  YOU SHOULD HAVE ALL THIS.  IN FACT YOU MUST.

How do you admonish the client for not having these doc without sounding like a jerk?

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We generally say something to the effect of, "Sure, we'll be happy to forward those. Would you please tell me why you need them?" Honestly, these days when it is as simple as attaching a PDF to an e-mail, we don't find it much of a burden. Maybe we are just lucky that we don't get too many of these requests. Wasn't as easy in the old days - then these were a thorn in the side.

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We post the plan documents on the website for the plan sponsor/financial adivisor and the SPD for the participants/sponsor/advisor.  We also post the last three 5500 forms and the annual plan testing for the sponsor/advisor and the SAR for all parties to the website.  We then direct them to the web to find the data.   

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