GBA/RPA 3 for CEBS
Attorney-client privilege as implemented to ee advantage plans - ANS-As a general rule,
lawyer-customer privilege applies; but, courts have increasingly identified that an exception can
also exist in communications involving fiduciary sports.
Categories of agency desires for DC retirement plans - ANS-Goal 1: Paternalism: The
preference, or perhaps the feeling of responsibility, to assist personnel put together effectively
for retirement.
Goal 2: To have Competitive advantages-advantages to attract and retain employees
Categories of internal controls for ee advantage plans - ANS-Are
1. Plan documentation and any amendments,
2. Plan testing and administration,
3. Controls at any third-birthday party administrator
Cyber threats to ERISA Plans encompass - ANS-1. Phishing e-mails
2. Malware thru external gadgets and intrusive software
three. Ransomware that seizes the uses computer
four. Hacked cyber breach
Module 4 of Study Guide
Data series related to wellness programs - ANS-Confidentially protections: Employees should
be made conscious that wellness packages might contain privacy dangers.
DOL Audit - ANS-% of Unacceptable-Major deficiencies that affected basic high-quality of audit
= 40%
ERISA Plan document for welfare plans - ANS-1. ERISA calls for every ERISA health and
welfare plan to e established and maintained in writing.
2. For Insured plans, and insurance organisation's grasp agreement or precis of benefits is in
most cases sufficient to serve as a felony plan file.
ERISA Requirement/Fidelity bond - ANS-ERISA requires that A constancy bond should be
purchased to cover everyone who handles plan budget
Ethical paintings area wellness applications have to - ANS-1. Guarantee no penalty for non
participation
Attorney-client privilege as implemented to ee advantage plans - ANS-As a general rule,
lawyer-customer privilege applies; but, courts have increasingly identified that an exception can
also exist in communications involving fiduciary sports.
Categories of agency desires for DC retirement plans - ANS-Goal 1: Paternalism: The
preference, or perhaps the feeling of responsibility, to assist personnel put together effectively
for retirement.
Goal 2: To have Competitive advantages-advantages to attract and retain employees
Categories of internal controls for ee advantage plans - ANS-Are
1. Plan documentation and any amendments,
2. Plan testing and administration,
3. Controls at any third-birthday party administrator
Cyber threats to ERISA Plans encompass - ANS-1. Phishing e-mails
2. Malware thru external gadgets and intrusive software
three. Ransomware that seizes the uses computer
four. Hacked cyber breach
Module 4 of Study Guide
Data series related to wellness programs - ANS-Confidentially protections: Employees should
be made conscious that wellness packages might contain privacy dangers.
DOL Audit - ANS-% of Unacceptable-Major deficiencies that affected basic high-quality of audit
= 40%
ERISA Plan document for welfare plans - ANS-1. ERISA calls for every ERISA health and
welfare plan to e established and maintained in writing.
2. For Insured plans, and insurance organisation's grasp agreement or precis of benefits is in
most cases sufficient to serve as a felony plan file.
ERISA Requirement/Fidelity bond - ANS-ERISA requires that A constancy bond should be
purchased to cover everyone who handles plan budget
Ethical paintings area wellness applications have to - ANS-1. Guarantee no penalty for non
participation
