"[1] Designate someone at the Plan Sponsor as being in-charge and responsible for the audit.... [2] Provide minutes from meetings plan oversight committee.... [3] Keep a summary list of key plan amendments and changes during the year.... [4] Provide your audit firm with a list of key subsequent events occurring after the end of the plan year.... [5] Were there any plan testing failures? ... [6] Has there been any correspondence from the [DOL] or IRS? ... [7] Have there been changes in key personnel working with the plan? ... [8] Were there any changes in the TPA, custodian, recordkeeper, or payroll provider during the year under audit?"

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