Compliance File Checklist by Plan Size – Internal Use
Use this set of checklists to identify if your plans have a minimum level of documentation on file commensurate with the asset size (and corresponding risk).
As plans grow in size, it’s recommended they have a more complete document trail for all decisions made on their plan, thus the 3 different suggested sets of documents.
This document will also help you 1) identify gaps in your own service model and 2) identify additional value-added documents you might want to pass along to your clients.