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Found 3 results

  1. Large plan (125 participants) filed Form 5500 but failed to include an audit with the filing. Are penalties automatic or are there allowances for first-time offenders? The instructions say that penalties MAY be assessed or imposed, unless failure to file properly is for reasonable cause. What would they consider reasonable cause?
  2. Hello, what is the consequence if a plan did not obtain the supporting documentation to prove the loan from the 401k or 403b plan was for the purchase of a primary residence? Is self-correction available? Are there penalties/or filings assessed?
  3. I'm curious what the penalties are, if any, for a first year PBGC Premium Filing that is submitted after its due date. Assuming the first year filing had no payment due, would there be a penalty charged for a late submission? This is what I found on the PBGC website: The late payment penalty charge is established by us, subject to ERISA's restriction that the penalty not exceed 100 percent of the unpaid premium amount. Subject to this cap, the penalty is a percentage of the unpaid amount for each month (or portion of a month) it remains unpaid with a minimum penalty of $25. So if the unpaid premium amount is $0, would there be any fees?
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