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CWF Will Review:
- Plan Agreements
- Disclosure Statements
- Contribution Forms
- Beneficiary Designations
- Amendments
- Required Minimum Distributions
- Death Distributions
- 1099-Rs and 5498s
- Transfer & Rollover Procedures
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Reasons to Consider a Compliance Audit
- IRA rules are constantly changing
- Governmental reporting procedures have changed, and continue to change
- One financial institution purchasing another financial institution
- Changes in IRA personnel
- Inexpensive preventive medicine versus governmental penalties
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Mail-In Audits
Very similar to an on-site audit, except CWF will instruct you what files we wish to examine. After reviewing a list of your tax-preferred accounts and asking various questions, you will be asked to photocopy various files, computer reports, forms, etc. and ship them to CWF for a comprehensive review.
Mail selected IRA files to us for off-premises review (charged on a per-file basis). Price based on quantity of files to review.
Pay CWF—a small fee! Or the Government — a larger fee.
Make the various tax-preferred accounts work for you, worry-free Before you find yourself standing face-to-face with a governmental representative, or an unhappy customer, you should make every effort to improve compliance procedures.
Call our Sales Department for more information at 1-800-346-3961.
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