Introducing the Plan Compliance File in a Box Complete Kit...

A complete system to help plan sponsors document a prudent decision-making process.

This complete kit helps demonstrate value in sales situations and shore up existing client files to close any potential internal gaps in your own book of business.

ACCESS A COMPLETE SYSTEM FOR DOCUMENTING AND ORGANIZING CLIENT FILES AND IDENTIFYING WHAT'S MISSING WITH TEMPLATES TO FILL IN THE GAPS...

This Done-For-You Plan Compliance File Kit Includes:*
  • ​An ​Organized Set of Compliance Documents to Include in a Digital Compliance File or a Printed Binder - to document compliance in five key areas including, Fiduciary, Investment, Providers, Participants, and Administration. 
  • ​A Set of Compliance File Checklists (by Plan Size) that include all documents a plan sponsor should keep on file in each key section listed above.
  • Customizable ​Binder Insert Graphics - Binder Cover and Spine, Binder Overview Letter, Binder Tabs, Section Divider Pages with Overview of each Key Area of Responsibility and Checklist of all items to include in each section.
  • ​Add-On Compliance Documents in each section to add additional value (can be used in prospecting as well).  These Add-On documents include:
  • Fiduciary Document Add-Ons: 
  • ​​​​​Internal Fiduciary Worksheet 
  • ​Fiduciary Appointment & Acknowledgement Letters
  • ​Fiduciary Resignation Letter Sample
  • ​Sample Bylaws
  • ​Sample Code of Ethics
  • ​Sample Conflict of Interest Policy
  • ​Recommended Reading Form for New Committee Members
  • ​Sample Committee Minutes
  • Investment Document Add-Ons:
  • ​IPS Review Checklist
  • ​Investment Review Checklist
  • ​Provider Document Add-Ons:
  • ​Service Provider Agreement Checklist
  • ​Service Provider Review Checklist
  • Participant Document Add-Ons:
  • ​Required Participant Disclosures Checklist
  • ​​​ERISA Section 404(c) Checklist
  • ​Sample 404(c) Notice to Participants
  • ​Participant Education Program Checklist
  • Plan Admin Document Add-Ons:
  • ​​Sample Plan Administration Calendar
  • ​Plan Operations Review Checklist
  • ​Committee / Advisor Responsibility Checklist
  • ​Document Retention Checklist
* Includes Free Lifetime Updates
A $1,700 VALUE

THIS COMPLETE KIT ALSO INCLUDES THESE BONUSES:

BONUS #1

PLAN POLICY PACK

Includes the following set of Sample Policies/Best Practices:
  • Education Policy Statement
  • ​QDIA Policy
  • ​QDRO Procedures
  • ​Cybersecurity Policy and Procedures
  • ​Missing Participant and Uncashed Check Procedures
  • ​Investment Policy Statement​
A $1200 VALUE

BONUS #2

GET LEADS ONLINE

A complete campaign to collect leads online. This lead package includes:
  • Text to Copy and Paste onto a Landing Page and Thank You page - These are the webpages you'd set up that offer your Compliance File Checklist in exchange for their name and email address
  • ​2 Follow-Up Emails - for delivering the Compliance File Checklist and offering additional value to your new 401(k) leads
  • ​Set of 5 Social Media Images - For posting on your website to collect leads, and on social media to drive traffic to your opt-in form
A $600 VALUE

GETTING STARTED IS SIMPLE WITH THE STEP-BY-STEP PLAYBOOK

This Getting-Started Guide Includes:
  • Frequently Asked Questions: From where to start to how to edit the documents, we've got you covered...
  • ​Complete Inventory List of Contents: The best way to start using the tools is to understand what's available...
  • ​Step-by-Step Compliance Roadmap: This playbook walks you through 5 steps to take in a checklist format to help you roll out the documents in this kit to your existing clients
  • ​Compliance Submission Checklist: You know how important compliance is, this checklist tells you what to update first and send, and helps you identify what's been approved already
  • ​Power Tips: Final tips on how to use this kit to win new business
* In the story, the Plan Compliance file was a reason cited for the advisor winning the plan (it was not the ONLY reason). There is no promise or guarantee you will win a $200 million dollar plan by simply showing up with a binder ;-)... There is more to selling than that - but it can certainly help demonstrate your value visually.

PURCHASE THIS COMPLETE KIT NOW

(Total Value: Over $3,500.00)

HERE'S HOW IT WORKS...

01

log into the
member library

When you purchase a kit, you'll get login credentials to the Member Dashboard where you'll have instant access to your new templates (this kit will be available November 10)

02

download /access desired templates

Download the Powerpoint or Word documents directly to your hard drive (or click the link and open select documents in Canva)

03

customize and
start using

Add your logo, contact information, disclosures, and make any other changes to the templates (you have complete control over the customization) and start using the material in your business
"This was exactly what I wanted - excellent - thank you!

"I loved the clarity and step-by-step approach.

"I'd tell other advisors considering this to definitely purchase the kit as a guide for assisting your workplace fiduciary clients in meeting their committee responsibilities."
ROBB S.

Want ALLLL the resources, sales and service templates, and personalized support?

BECOME A 401K QUARTERBACK
AND TAKE YOUR BUSINESS TO THE NEXT LEVEL

DONE-FOR-YOU CONTENT LICENSE TERMS

By purchasing a document kit from us, you are buying a special license that gives you permission to use our content in a variety of ways in your own business. This includes but is not limited to any content that’s part of the “401k Business in a Box” subscription toolkit.

Please review the license terms below, full site terms found here, and if you have any questions or if you’re unsure of something, please contact me.

What You Can Do with the Editable Documents:

You can sell (or give away at no cost) the content to your plan sponsor clients with personal use only rights.
You can edit the content, add to content, or just use the content as is.
You can put your personal name and business name on the content.
You can add your business logo to it and change the document colors.
You can completely modify the content to edit the text, the titles, the order of it - it's completely editable.
You can use the content on your website, blog or in your newsletter.
You can use the content in your emails and on social media.
You can bundle the content with your other paid programs and services.
You can use the content for creating a giveaway to grow your list.
You can use the content as a bonus to a paid product or service.
You can add the content to your existing client service models.
You can sell the content as part of project work to new clients.
This content can be used as inspiration to create audio or video files.
You may publish it offline as a free or paid workshop, class, program, product.
You can give the content away to your paid clients/customers/members.

What You Can NOT Do With The Content You Buy from Us:

Your customers or clients may not give away or sell the content after purchasing from you – if they would like to do so, they need to purchase the content directly from our website. (e.g. if you're a plan advisor - your plan sponsor clients can't give it away to other companies or sell it to others, and if your'e a wholesaler or provider, you can't give this to advisors to then sell or give away to their plan sponsors - that would require an enterprise license - contact me for more information)
You may not load the content up on Kindle as a book (that’s against Amazon’s terms of service and can get your account banned).
You may not sell the content through auction sites, dime sales/firesales.
You may not give away, transfer, or sell your license to this content.
You may not give away, transfer, or sell resell rights or master resell rights.
You may not transfer the rights you have to your customer.

Refunds

There is a 14-day money-back guarantee on all products and programs offered.  If you are not completely satisfied, email me within 14 days of purchase for a full refund.  Due to the digital nature of the Content, and the fact that you'll have been able to download everything to your hard drive, I will ask that you destroy your hard drive and send pictures (kidding).  If you have questions, please contact me first and I’d be happy to give you a  tour, sample documents, answer any questions you have, etc. because I want this investment to be the best investment you ever made in your business and want to avoid refunds by 1) making sure you know exactly what you're getting and 2) overdeliver the value so you'd never in a million years want to give up the new resources you just invested in.
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