HK Financial Services is now part of Blucora. Please visit Blucora for more details.
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Liability & Fiduciary Protection

HKFS Retirement Plan Services offers the broadest protection available to alleviate fiduciary responsibility and potential liability. Our experts take this responsibility very seriously and ensure that you are protected from litigation through our safeguards.


Liability & Fiduciary Protection

Here are some of the protections provided through HKFS Retirement Plan Services.


  • Plan design consultation
  • Regulatory monitoring
  • Comprehensive compliance testing
  • Form 5500 preparation and submission
  • Investment management and monitoring
  • Auditor support
  • Contribution monitoring
  • Qualified Domestic Relations Order (QDRO) validation
  • Eligibility calculations
  • Contribution calculations
  • Participant notifications
  • Participant education
  • Distribution and vesting calculations
  • Loan verification

Offering a retirement plan can be one of the most rewarding decisions a business owner can make for their employees. Managing that responsibility is key to its success now and in the future with a partner that can manage all aspects of administration and decision making. At HKFS, we are certified to handle the risk associated with plan administration (see Comprehensive Services Designed for Protection) and investment management. Liability is reduced by partnering with HKFS because we offer the highest levels of protection. We assume the following responsibilities:

  • Fiduciary manager on plan assets as a delegated 3(38) investment manager
  • Providing participant investment advice through our financial advisor team serving as 3(21) fiduciaries
  • Service administration through 3(16) fiduciary oversight
  • Comprehensive regulatory compliance advice and regulatory monitoring

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