Form 5500 is more than a regulatory requirement—it is a critical reporting tool that demonstrates compliance, transparency, and fiduciary oversight for employee benefit plans. This webinar provides a comprehensive overview of the Form 5500 series, including who must file, what information is required, and how regulators use the data.
Learning Objectives:
- Understand the purpose of Form 5500 – Learn how the filing supports compliance monitoring and protects participants by reporting financial condition, operations, and plan governance
- Identify who must file and which form applies – Distinguish between Form 5500, 5500-SF, and 5500-EZ, and understand key thresholds
- Recognize common filing errors – Avoid issues like incorrect participant counts, missing schedules, and inconsistent financial data that often lead to penalties or audit scrutiny
- Understand penalties and correction programs – Learn the financial impact of late or inaccurate filings and how programs like DFVC can reduce exposure.
CE Credit: 1 ASPPA/NIPA